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.
On February 12, 2018, the U.S.
For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.
The U.S. Securities and Exchange Commission’s ("SEC") Form PF presents many challenges for investment advisers, particularly those that have large data sets and multiple administrators.
SEC examinations of Registered Investment Advisers are on the rise. Here's a look at what the regulators are asking for and considerations for production.
The premise of the new rules will be to ensure investment firms have a prudential framework designed to be simpler and more proportionate to the operations of these types of firms. However, these changes will result in significant alteration to how investment firms measure their capital for regulatory purposes.
Firms in both the U.S. and the UK need to be aware of recent changes made to regulatory reporting forms.
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
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.
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.