Articles

April 29, 2016
This article was written by Alan K. Halfenger and appeared in the May 2016 edition of NSCP's Currents  
February 19, 2016

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.

October 22, 2015

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.

September 24, 2015

The following article was featured on September 24, 2015 in Hedge Fund Law Report.

June 30, 2015

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.

May 28, 2015

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.

May 13, 2015

The following article appeared in the May 13, 2015 issue of Ignites and was written by ACA Senior Principal Consultant Jason Rosenberg.

April 16, 2015

The following article appeared in The Hedge Fund Law Report on April 16, 2015.

April 8, 2015

The following articled appeared in The Cybersecurity Law Report on April 8, 2015.

March 2, 2015

The following article was written by ACA's Lawrence Florio, Brian Roberts, and Joel Stocksdale appeared in the March 2015 IAA Newsletter.

February 26, 2015

The following article appeared in the February 2015 NSCP Current's Newsletter and was written by ACA's Jessica Huelbig.

September 15, 2014

"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.

July 30, 2014

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.

May 15, 2014

Publication: NSCP Currents

Issue: May 2014

Author: Joel Stocksdale, Senior Principal Consultant, ACA Compliance Group

February 26, 2014

Publication: NSCP Currents

Issue: February 2014

Author: Erik Olsen, Senior Principal Consultant, ACA Compliance Group