Regulatory Update Summer 2022

Welcome to the ACA Regulatory Update where we provide unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Download here to gain our analysis of regulatory actions, lessons learned from recent enforcement activity, and a monthly checklist for advisers!

This special edition, includes articles such as:

• News For Investment Advisers & Broker-Dealers
• News For Mutual Funds & Advisers to Mutual Funds
• Lessons Learned
• Worth Reading, Watching, and Hearing
• To Do Checklists for the Month of September 2022

Download

How we help

Compliance teams need continuous support and knowledge sharing to stay on top of regulatory initiatives. Our team helps you navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.

We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions. Our services and solutions include standard and customized compliance packages, cybersecurity and technology risk assessments, Global Investment Performance Standards (GIPS^®) compliance and other performance services, and a variety of business advisory, technology, and training solutions for financial services firms.   

Contact us if you have any further questions about these rule proposals, or how ACA can help your firm meet your regulatory requirements.

Contact us