PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
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.
When it comes to MiFIR Transaction reporting how confident are you? Or more importantly, how confident should you be? Our peer analysis infographic reveals worrying results that suggest that most firms still have a long way to go
On July 21, 2021, the Division of Examinations released the "Cross Trade Risk Alert". Although this risk alert is focused on fixed income investments, what can real estate and private equity managers, including those that do not invest in fixed income instruments, learn from this risk alert and other SEC staff activities related to principal and cross trades?
The SEC announced that 27 firms violated the Investment Advisers Act of 1940 and the Exchange Act, failing to file and deliver customer relationship summaries to their retail investors in a timely manner.
With a growing European SPACs market and the UK's goal to make London more attractive to compete with other markets around the world, we outline key considerations for firms ahead of new SPACs listing rules coming into force on 10 August in the UK
Fundraising and compliance challenges are expected to increase for private equity firms in the second half of 2021 into 2022. We speak with Private Equity Wire about why support that blends practical and regulatory advice is becoming critical.
On July 15, 2021, FINRA issued Regulatory Notice 21-26 to announce new amendments to Rules 5122 and 5123. Under the revisions, broker-dealers must file retail communications that promote or recommend private placement offerings subject to the rules’ filing requirements as of October 1, 2021.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!