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.!
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)
Numerous firms who have undertaken complex, expensive and burdensome projects to build their reporting frameworks have mistaken the light at the end of the implementation tunnel as the end of the MiFID II challenge. Some firms are looking the wrong way down the tunnel, and others might well be watching the FCA enforcement train leaving the station.
On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.
Cybersecurity oversight continues to challenge boards and now the SEC has updated their request list for cyber exams. This updated list combined with previously articulated SEC expectations, provides some directional help for boards as they navigate cybersecurity issues. In this blog, ACA's Jim Pappas shares what boards need to know.
The coming rules create a new prudential capital framework that is more tailored to the asset management industry – the previous structure was more focused on banks. While the changes will be modest for some firms, others will be significantly impacted by these new rules.
ACA Compliance Group (“ACA”) has expanded its consulting services that will help banks engaged in asset management activities manage risk and meet growing regulatory expectations. The bank asset management consulting services practice is overseen by former bank examiner, Roy Kim.
With the UK government’s desperate attempts to achieve a Brexit settlement having reached a crescendo, the FCA continues to make preparations for the worst case no-deal scenario. There appears still to be some uncertainty about who the regime applies to. This alert updates our previous alert on the same topic, with the objective of providing certainty to our clients on the current position.
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.!