Insights
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
SFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key points
The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.
- Compliance
ACA’s Spring Conference — Session Spotlight: Cryptocurrency and Compliance
Today’s conference spotlight highlights a session that will cover one of the financial industry’s most buzzed-about topics: Cryptocurrency and Compliance.
- Events
GDPR DDQ Now Available for Assessing Vendors' GDPR Compliance
ACA announces GDPR-specific due diligence questionnaire (DDQ) for vendors and third parties.
- Privacy
- Compliance
- Cybersecurity