As part of ACA, our in-house regulatory and performance experience is leveraged to help your firm understand the broader picture of compliance. We draw from our experience and regulatory insight to help your firm understand industry best practices and the range of compliance issues that your peers face today.

FINRA Leverages the GIPS Standards for Standardizing Private Placement Performance Marketing

FINRA's release of Regulatory Notice 20-21 allows the use of IRR for investments or funds that have been fully realized but further requires utilizing the calculation methodologies of the GIPS standards.

Latest insights

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Q&A For Common Marketing Rule Performance Calculation Questions

We’ve put together responses for some of the most common questions we get asked to help your firm meet the requirements of the Marketing Rule.

Article
  • SEC Marketing Rule
  • Performance
December

Updated FAQ About the SEC Marketing Rule Performance Requirements

The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).

Compliance Alert
  • Compliance
  • Performance
  • SEC Marketing Rule
  • SEC
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ACA's Top White Papers of 2022

We wanted to take a moment to look back at our most popular white papers of 2022 and the advice they provide for financial firms.

Article
  • Compliance
  • Cybersecurity
  • Managed Services
  • ESG
  • RegTech
  • ComplianceAlpha
  • Performance
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ACA's Top Webcasts of 2022

Our most popular webcasts of 2022 discuss the regulatory change that occurred throughout the year and how firms can adjust to new requirements.

Article
  • Compliance
  • ComplianceAlpha
  • Cybersecurity
  • ESG
  • Performance
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White Paper: The Private Equity Managers Path to Compliance With the GIPS Standards

This white paper outlines the increased importance for private equity firms to claim GIPS compliance and takes firms through the various requirements.

Article
  • Performance
ACA

FAQs: Top Questions Answered About the SEC's Marketing Rule

As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.

Article
  • SEC
  • SEC Marketing Rule
  • Compliance
  • Performance

Performance webcasts

The New Marketing Rule: A Focus on Performance

Join ACA and K&L Gates for a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.

Webcast

FAQs: Amendments to the Marketing & Advertising Rule

Join ACA for a complimentary webcast in which we'll provide answers to the most frequently asked questions we've received in response to the new marketing rule and its implications.

Webcast