The following article appeared in the February 2016 edition of NSCP's Currents newsletter was written by Michael Abbriano, Senior Principal Consultant, ACA Compliance Group.
A program presented by The Hedge Fund Law Report and ACA Compliance Group (ACA) extracted compliance lessons for hedge fund managers from recent SEC enforcement actions in the areas of conflicts of interest, fees and expenses, chief compliance officer (CCO) liability, compliance resources and technology. The program, entitled “What Hedge Fund Managers Need to Know About SEC Enforcement Trends,” was moderated by William V. de Cordova, Editor-in-Chief of The Hedge Fund Law Report, and featured Barry P.
The following article was featured on September 24, 2015 in Hedge Fund Law Report.
Since the global financial crisis of 2008-2009 and the Madoff Ponzi scheme (collectively, the “Financial Crisis”), both regulators and investors have significantly increased their demands that hedge fund managers (“HFMs”) develop and maintain an institutional-quality infrastructure. Unfortunately, at the same time, the revenues available to most HFMs to build and support the required institutional infrastructure have diminished, as both fees and AUM have been compressed.
The follow article written by ACA's Tammy Tam was featured in BISA Magazine Q1 2015 issue.
Broker-dealers are constantly reminded of the areas of risk that regulators want to review. These risk areas are no secret; both the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) issue a letter each year outlining their examination priorities.
The following article appeared in the May 13, 2015 issue of Ignites and was written by ACA Senior Principal Consultant Jason Rosenberg.
The following article appeared in The Hedge Fund Law Report on April 16, 2015.
The following articled appeared in The Cybersecurity Law Report on April 8, 2015.
The following article was written by ACA's Lawrence Florio, Brian Roberts, and Joel Stocksdale appeared in the March 2015 IAA Newsletter.
"Alternative Funds are the bright, shiny object... but they are a sharp object.”1 That is how Andrew Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) described alternative mutual funds earlier this year.
Publication: NSCP Current's
Author: Giselle Casella, Senior Principal Consultant , ACA Compliance Group
The 1990s saw the evolution of the Internet and related technologies which would dramatically change society and the way people do business. However, it also opened up a whole new world for criminal activity, i.e. cybercrime. During that time, the U.S. Securities and Exchange Commission (“SEC”) frequently used anti-fraud statutes to prosecute financial services industry cases involving cybercrime.
Publication: NSCP Currents
Issue: February 2014
Author: Erik Olsen, Senior Principal Consultant, ACA Compliance Group