Insights
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
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