Insights
ACA Technology Announces Release of ACA Regulatory Reporting 5.0
Key features include a redesigned user interface and the integration of Form 13F with Form PF.
- RegTech
- ACA News
ACA’s Spring Conference — Session Spotlight: Performance in the News and Marketing Best Practices
Today’s conference spotlight highlights two sessions led by our performance professionals from ACA Performance Services.
- Events
ACA’s Spring Conference — Session Spotlight: Compliance Technology Trends
Today’s conference spotlight highlights the session Using Compliance Technology and Consolidating Data Sets to Create New and Essential Insights.
- Events
Firm Notification Requirement – 2018 Form Now Available
Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each firm must submit the GIPS Compliance Form annually by June 30.
- Performance
So You Survived Year-End Compliance Testing — But are You Ready for What’s Next?
Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.
- Compliance
SEC Requesting that Firms Submit Data via Formatted Template as Part of Investment Adviser Exams — What Your Firm Needs to Know
Since the U.S.
- RegTech
Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the
- Compliance
Takeaways from the SEC’s 2019 Fiscal Year Budget Request
On February 12, 2018, the U.S.
- Compliance
Non-EU Firms and GDPR: Time to Face Up to Compliance
The deadline for meeting the General Data Protection Regulation (GDPR) is on
- Cybersecurity
Why Claim GIPS Compliance?
The decision to pursue GIPS compliance and verification is not always a simple choice. There are many moving parts within a firm’s compliance framework, and thus there are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards.
- Performance