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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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Interval Funds Basics

In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.

Article
  • Compliance
  • Distribution
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ACA Commemorates Hispanic Heritage Month

We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!

News
  • ACA News
Compliance Alert

FCA Releases Final Rules on the Use of Appointed Representatives

The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.

Compliance Alert
  • Compliance
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ACA Group Unveils Outsourced Chief Compliance Officer Practice

ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.

Press Release
  • ACA News
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FCA's Latest Dear CEO Letter: Is the Devil in the Detail?

The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.

Compliance Alert
  • Compliance
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Custody Rule Violations and Inaccurate Form ADV Disclosures

The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.

Compliance Alert
  • Compliance
  • SEC
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Implications of the SEC's Draft Strategic Plan

While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.

Compliance Alert
  • Compliance
  • Cybersecurity
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Distribution Digest Volume 4

We are happy to share the Distribution Digest, which contains information about recent trends and news related to the asset management marketplace.

Article
  • Distribution
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ACA Group Acquires Focus 1 Associates

ACA's latest acquisition bolsters ACA’s roster of top compliance talent and diversified services.

Press Release
  • ACA News
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SEC Proposed Cybersecurity Risk Rules

The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.

Article
  • Cybersecurity
  • SEC