Modern Compliance: Capturing Mobile and Social Media Communications
Join ACA and SnippetSentry as we explore global communication capture strategies to reduce compliance risks and enhance your compliance program.
Webcast
Distribution Insights and Alerts
View our latest articles and insights on best practices and trends in distribution.
Latest insights and alerts
An Overview of Tender Offer Funds
Tender offer funds repurchase shares at the Board of Trustees’ discretion pursuant to Rule 13e-4, Section 14, and Schedule TO under the Exchange Act.
Article
- Distribution
An Overview of Interval Funds: Rule 23c-3
An overview of Rule 23c-3 forms the foundation for understanding interval funds’ fundamental structure. Rule 23c-3 delineates the regulatory framework, mechanisms, and restrictions for how interval funds conduct repurchase offers.
Article
- Distribution
ACA Group Announces Agreement to Acquire UMB Distribution Services, LLC
Acquisition expands ACA Foreside’s distribution leadership, now distributing and servicing over an estimated $2 trillion in assets.
Press Release
- Distribution
- ACA News
The History of Interval and Tender Offer Funds
The history of tender offer and interval funds helps contextualize their current regulatory framework and purpose in the asset management industry.
Article
- Distribution
An Introduction to Interval and Tender Offer Funds
Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.
Article
- Distribution
White Paper: Regulatory History Frames Current Issues for the ETF Industry
We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.
Article
- Distribution
Events
The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Webcast