Marketing Rule Best Practices: What We’ve Learned Over the Past Two Years
In this webcast, we will share valuable lessons learned over the past two years to help you meet the rule’s stringent marketing and advertising requirements.
The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.
With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.
Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
FINRA has established streamlined reporting requirements for RSLs through Form U4.
The DOL was stalled in its most recent attempt to re-define an investment advice fiduciary under ERISA.
Helping asset managers select and work with an intermediary.
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
Amendments to Form N-PORT will both increase the frequency of reporting and compress the reporting schedule for funds to report detailed information about their portfolio holdings.
Investment adviser registration in the U.S. can be a long and arduous process. Download our guide to understand the process.
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
Acquisition strengthens ACA’s ability to support clients expanding into the UAE and broadens offering to UK firms .
In this webcast, we will share valuable lessons learned over the past two years to help you meet the rule’s stringent marketing and advertising requirements.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.