Insights
New GIPS Standards Q&A’s Released
The GIPS Standards Technical Committee recently released three new GIPS Standards Q&A’s that are all effective as of April 18, 2018.
- Performance
US Turns Up AML Compliance Heat on RIAs, Broker-Dealers and Others
On May 11, 2018, broker-dealers and other financial institutions currently covered by the US Anti-Money Laundering (AML) regime will need to become compliant with FinCEN’s new customer due diligence
- AML and Financial Crime
What Additional Data Do Quarterly Form PF Filers Need?
Hedge funds and hedge fund advisers that need to file Form PF on a quarterly basis may already know the challenges they face. This blog post summarizes what additional information you need as a quarterly filer to help you prepare for the next submission deadline.
- Compliance
A New Trend in Platforms Requiring Third-Party Performance Attestation
Consultant database reporting is an important business consideration for many investment management firms. The databases serve as a gateway for investment managers to reach institutional and retail assets alike. A recent trend in the industry is that of increased due diligence. The top databases are increasingly requiring firms to comply with the GIPS standards or receive an independent third-party certification of the track record.
- Performance
New prudential regime for Investment Firms: how are Exempt-CAD firms impacted?
Likely to come into force by the end of 2019, the prudential framework will hit some firms very hard, requiring them to maintain significantly greater levels of capital. We are running a series of articles assessing the material areas of change imposed by these new rules. In this first article, we examine the regime’s impact on the capital and liquidity requirements of Exempt-CAD firms.
- Compliance
FAQ: Pitfalls and Best Practices for Presenting Third-Party Performance
More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues.
- Performance
ACA Compliance Group to Acquire Cordium
ACA announces planned acquisition of Cordium, a leading provider of governance, risk and compliance (GRC) services.
- ACA News
ACA Launches Services Dedicated to Advisers in the Digital Asset Space
Investors and regulators globally are actively reviewing and examining digital asset advisers’ investment practices.
- ACA News
- Compliance
Digital Assets in the Regulatory Spotlight in Q1 2018
During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This blog post is a summary of our article detailing the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.
- Compliance
ACA’s Spring Conference — Session Spotlight: Anatomy of an SEC Exam
Today’s conference spotlight highlights a session that will address a topic that many investment advisers have wondered about: what actually happens during an SEC exam?
- Events