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.
Our Investment Company Practice supports registered investment companies, as well as their advisers and sub-advisers, board of directors, and service providers to help them build, enhance and add controls to their compliance programs to meet Investment Company Act of 1940 requirements and SEC and industry standards.
We offer objective, innovative, and effective compliance reviews and solutions to prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations. We provide solutions to assist firms with managing and mitigating related operational, regulatory, and reputational risks.
We provide solutions for the following types of firms.
We provide objective, innovative, and effective compliance reviews and solutions to assist business development companies, as well as their boards, sponsors, and service providers — with preparing for the rigors of an SEC examination.
We provide objective, innovative, and effective compliance reviews and solutions to assist exchange-traded funds with preparing for the rigors of an SEC examination.
We offer diverse compliance review and fund management compliance services, all scalable to individual client needs.
We help insurance companies and distributors understand and manage these complex compliance requirements and develop and implement the comprehensive, effective risk-based protocols necessary to meet regulators’ expectations.
Our fund management compliance team includes former regulators along with former along with former chief compliance officers and senior compliance managers from prominent financial institutions. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
Compliance solutions can include:
of the top 100 mutual funds (as noted in the Mutual Fund Directory March 2020 ranking data)
When establishing or expanding a business in the UK and/or across the EU, there are various paths you can take. We outline key points to consider before you embark on your new business journey.
The QPAM exemption suspends certain ERISA rules against conflicts of interest and self-dealing for advisers managing or advising assets of retirement plans or individual retirement accounts.
We partnered with NSCP to launch this inaugural survey to help you better understand how your peers are managing the risks and opportunities of AI.
In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance.
Although the court ruled to vacated the SEC's Private Fund Adviser Rules, we do not see this as a moment to "put pencils down,” but rather to monitor closely and continue with compliance readiness under potential appeal outcomes.
Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.
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.