ACA Spotlight Blog

Insights from ACA's team of compliance and technology professionals.

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June 19, 2018

The European Union’s General Data Protection Regulation (GDPR) entered into force on 25 May 2018 after a last-minute scramble by organisations across the globe to establish their privacy programs and update privacy notices. Now that your firm has (hopefully) built its GDPR compliance program, what should you be doing to ensure ongoing compliance with the regulation?

June 13, 2018

As of June 1, 2018, registered investment companies are required to file Form N-CEN with the Securities and Exchange Commission (“SEC”) on an annual basis. This new form replaces the semi-annual census reporting on Form N-SAR and must be filed within 75 days of a fund’s fiscal year end (with an exception for unit investment trusts, which must file within 75 days of calendar year end).

June 7, 2018

Portability refers to the ability of a GIPS®-compliant firm to present a track record that was achieved at another firm. When one firm hires a portfolio manager, there is usually a desire to market the portfolio manager’s track record while employed at the prior firm.

June 5, 2018

We're pleased to announce that ACA Compliance Group ("ACA") is nominated for several categories in the Waters Rankings 2018.

May 31, 2018

In 2002, the Sarbanes Oxley Act was enacted to augment the regulation of accounting and disclosures for public companies. This was in direct relation to aggressive accounting methods, the technology bubble, and other instances of corporate malfeasance.

May 25, 2018

Summer is finally here! With Memorial Day marking the unofficial start to summer it’s time to take a break, but in the compliance industry it’s not as simple as turning on your “out of office” and walking out the door. Compliance officers and managers need the assurance that they can leave the office and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients.

May 17, 2018

The GIPS® Technical Committee recently released three new GIPS Q&A’s that are all effective as of April 18, 2018.

May 1, 2018

Hedge funds and hedge fund advisers that need to file Form PF on a quarterly basis may already know the challenges they face. This blog post summarizes what additional information you need as a quarterly filer to help you prepare for the next submission deadline.

April 26, 2018

Consultant database reporting is an important business consideration for many investment management firms. The databases serve as a gateway for investment managers to reach institutional and retail assets alike. A recent trend in the industry is that of increased due diligence.

April 25, 2018

A growing multi-affiliate private equity fund manager with approximately $1 billion assets under management was manually tracking its compliance tasks and reviewing marketing materials through email.

April 6, 2018

ACA Technology's Product Spotlight series highlights how ACA's technology solutions can help firms streamline operations, scale for growth, and meet business objectives effectively and efficiently.

April 6, 2018

More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues.

April 11, 2018

ACA’s Spring 2018 Compliance and Performance Conference will include for the fourth time a performance-focused track specifically on issues related to performance measurement and the GIPS® Standards.

April 2, 2018

During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This blog post is a summary of our article detailing the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.