MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Private Fund Adviser Rules Timeline
Download a timeline that maps out each critical phase of the SEC's Private Fund Adviser Rules and the timeframes required to meet the rule's deadlines.
Article
- Private Fund
- SEC
- Compliance
- Performance
The SEC Targets Use of Predictive Data Analytics
Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.
Compliance Alert
- Compliance
- SEC
- Artificial Intelligence (AI)
The CFTC Cracks Down on Recordkeeping Failures
The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.
Compliance Alert
- RegTech
- Compliance
U.S. Regulatory Update – October 2023
The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.
Newsletter
- Compliance
- Private Fund
- SEC
- SEC Marketing Rule
- FINRA
- ComplianceAlpha
ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.
Press Release
- ACA News
- Private Fund
- SEC
- Compliance
2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change
The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.
Compliance Alert
- SEC
- Compliance
- Performance
- Cybersecurity
- ESG
Events
Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Conference
2024 FINRA Annual Conference
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Conference