MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
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 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 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)
The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.
Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.
Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.
From 1 January 2020, many UK fund managers and providers will be more responsible and accountable for financial management as well as environmental, social and governance ESG. We examine what these changes mean for firms.
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.
Join our team in NYC at the MFA Legal & Compliance Conference.
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.