Welcome to the ACA Regulatory Update, where we provide unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
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News for Investment Advisers
Marketing Rule Compliance Faces EXAMS Scrutiny
With Elections Coming Up, SEC Announces Four Pay-to-Play Settlement Cases
Something New to Worry About – Identity Theft Red Flags Rule Violations
Leaving Wrap Accounts to Run on Auto-Pilot Costs Advisor $700,000 in Fines