Comprehensive Training Solutions

December 15, 2020

During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.

December 14, 2020

The Brexit transition means in excess of 1,500 global firms need to adapt their business models and regulatory registration arrangements to continue operating within the UK. We outline details of the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.

December 11, 2020

To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.

December 10, 2020

With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.

December 07, 2020

In the second edition of ACA's Hedge Fund Update we cover recent industry news, regulatory updates, enforcement actions, and more.

December 03, 2020

As you look ahead to 2021, take a look at a few of 2020’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.