Insights
Interval Funds Basics
In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.
- Compliance
- Distribution
ACA Commemorates Hispanic Heritage Month
We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!
- ACA News
FCA Releases Final Rules on the Use of Appointed Representatives
The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.
- Compliance
ACA Group Unveils Outsourced Chief Compliance Officer Practice
ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.
- ACA News
FCA's Latest Dear CEO Letter: Is the Devil in the Detail?
The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.
- Compliance
Custody Rule Violations and Inaccurate Form ADV Disclosures
The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.
- Compliance
- SEC
Implications of the SEC's Draft Strategic Plan
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.
- Compliance
- Cybersecurity
Distribution Digest Volume 4
We are happy to share the Distribution Digest, which contains information about recent trends and news related to the asset management marketplace.
- Distribution
ACA Group Acquires Focus 1 Associates
ACA's latest acquisition bolsters ACA’s roster of top compliance talent and diversified services.
- ACA News
SEC Proposed Cybersecurity Risk Rules
The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.
- Cybersecurity
- SEC