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.
We work with hedge fund managers to provide innovative governance, risk, and compliance advisory services and technology solutions that enhance their operational and business processes.
Feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to be a trusted adviser and partner. Our staff includes former SEC, FINRA, CFTC, FCA, OCC, and state regulators along with former Chief Compliance Officers and senior compliance managers from prominent hedge funds and other financial institutions.
Build a scalable and resilient compliance program with our regulatory technology software platform backed by managed services support. Our hedge fund compliance service solutions are designed to help your firm streamline processes, simplify day to day tasks, and ensure easy and comprehensive tracking of all activity across your firm.
Get more out of your day by relying on our team for recurring task work, filings, and surveillance. Our managed services can support you with your ongoing compliance responsibilities, including compliance testing, electronic communications reviews, and other operational tasks.
You will have access to unique insights, trends, and benchmarking data gathered from the largest network of clients in your market. Since inception, we’ve worked with thousands of hedge fund managers. We've worked with 85% of the top 100 hedge fund managers (Hedge Fund Alert, May 2020) with a diverse set of investment strategies and business operations.
Regulators globally are using cutting-edge technologies to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. ACA’s trade surveillance solutions are designed to help your firm effectively, diligently, and proactively manage its firm-wide and employee trading risk in a way that meets regulatory expectations and industry best practices.
We offer a range of trade surveillance solutions designed to meet your firm’s business needs, including: market abuse surveillance, employee personal trading and code of ethics, trade blotter review, and holistic surveillance.
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
This white paper will explore the many compliance concerns asset managers should keep in mind when obtaining and utilizing alternative data to ensure compliance with the SEC's compliance rule.
In the first edition of our Hedge Fund Update we discuss recent industry news, settlements, and rulings. Read more to find out the latest news you may have missed.
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.