We’ve compiled our most recent ACA updates to help keep you and your firm up to date on the latest industry news, trends, and guidance.
Alerts and Insights
SMS Message Rates May Apply: SEC Fines 16 Firms $81 Million for Recordkeeping Failures
The SEC announced that it settled charges with 16 investment advisers and broker-dealers alleging that the firms failed to maintain required electronic records. Learn more and get our tips for how to proactively strengthen your compliance program in our recent alert. Learn more.
AML Obligations May Be Coming for Investment Advisers
FinCEN recently proposed AML and CFT programs for investment advisers that, if passed, would somewhat harmonize the requirements for banks and broker-dealers with those for investment advisers. Learn more
Form PF 2.0: Significant Amendments Implemented by the SEC and CFTC
On February 8, 2024, the SEC and CFTC jointly adopted significant updates to Form PF that are aimed at enhancing transparency and regulatory oversight, introduce several key changes that will impact how advisers report their activities and holdings. Learn more
Eight Steps CCOs Should Take Now to Prepare for AI Regulation
The rapid expansion of AI use in the financial industry creates significant opportunities for more efficient and effective compliance oversight that must be balanced with the new risks that AI tools pose. CCOs should begin taking steps now to get ahead of regulatory risks and ensure that AI-tools do not create additional privacy, cybersecurity, and compliance risks. Learn more
Register for the 2024 ACA Conference!
Navigating the Future of Governance, Risk, and Compliance
Investment advisers of all sizes are facing increasing regulatory burdens and the pressure to adapt to new and ongoing concerns. Our conference will provide you with the knowledge, tools, and insights needed to chart a course through challenging new horizons.
Join usApril 10 - 12 in downtown Nashville, Tennessee for an exciting journey as we explore the future of governance, risk, and compliance.
The demand for increasing ESG transparency continues to put pressure on investment managers globally. We understand the unique hurdles you face and invite you to our three-part ESG-focused webcast series designed to address and illuminate these critical issues.
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Any opinions expressed herein are those of the authors and do not necessarily reflect the views of ACA Group. This information is provided for general information purposes only and does not constitute professional legal or consulting advice for any particular situation. Information is believed to be accurate as of the date of original publication. ACA Group undertakes no obligation to update such information to reflect subsequent developments or regulatory changes, or to provide notification of any such changes.
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ACA Group includes ACA Compliance (Europe) Limited (company number: 04548431), ACA Performance (Europe) Limited (company number: 9284675), Cordium Consulting Group Limited (company number: 5963788), and Cordium Consulting Limited (company number: 3788854), each a private limited company incorporated in England and Wales with registered offices at 11 Strand, London, WC2N 5HR, United Kingdom. For further information, please refer to www.acaglobal.com.
ACA Group includes Mirabella Financial Services LLP, a limited liability partnership registered in England & Wales number OC309035, Authorised and Regulated by the Financial Conduct Authority, FCA FRN 415559, Mirabella Advisers LLP, a limited liability partnership registered in England & Wales number OC384100 Authorised and Regulated by the Financial Conduct Authority, FCA FRN 606792, Mirabella Malta Limited, a limited company registered in Malta, which is registered with the Malta Financial Services Authority to conduct investment services business, and Mirabella Malta Advisers Limited, which is registered with the Malta Financial Services Authority to conduct investment services business. For further information, please refer to www.acaglobal.com.
CFA Institute does not endorse, promote or warrant the accuracy or quality of ACA Group. GIPS® is a registered trademark owned by CFA Institute.
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