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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New SEC Marketing Rule Master Class Podcast Released

We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.

News
  • Compliance
  • Performance
  • SEC Marketing Rule
Cement Room

Operational Challenges with Performance Calculation and Reporting

Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.

Article
  • Compliance
  • Performance
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The Resurgence of After-Tax Performance

Firms are struggling without up-to-date standards for after-tax performance reporting, or readily available systems to guide their decision making.

Article
  • Performance
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SEC New Marketing Rule: The Compliance Clock is Ticking

After 60 years of little to no amendments, The U.S. Securities and Exchange Commission’s (SEC) rules on advertising are set to change. With significant updates and changes ahead, learn why firms should begin preparing now to meet the November 2022 compliance deadline,

Article
  • Compliance
  • Performance
  • SEC
  • SEC Marketing Rule
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Annual GIPS Compliance Notification Form Deadline is June 30

Organizations that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance by June 30, 2022.

Article
  • Performance
Cement Room

Preparing to Comply with the SEC’s New Marketing Rule

The SEC's New Marketing Rule compliance deadline is November 4, 2022 - closer than you think. In this article, we outline our implementation action plan.

Article
  • 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