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
The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)
If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.
Compliance Alert
- Compliance
FAQs: Top Questions Answered About the SEC's Private Fund Adviser Rules
Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).
Article
- Compliance
- Performance
- ComplianceAlpha
- Private Fund
U.S. Regulatory Update – September 2023
Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!
Article
- SEC
- Compliance
- Broker-Dealer
- Investment Adviser
Advisory Firm Settles Cherry Picking Fraud Charges With the SEC
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
Compliance Alert
- RegTech
- ComplianceAlpha
- SEC
- Compliance
SEC Private Fund Adviser Rules: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
Compliance Alert
- Compliance
- Performance
- Private Fund
The New TPF Regime: Treating Politicians Fairly?
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
Compliance Alert
- Compliance
- AML and Financial Crime
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