The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.
We are the largest team in the world providing GIPS standards verification and related services.
Our team — comprised of more than 60 professionals with extensive performance experience — provides GIPS standards verification and consulting services to investment managers around the globe.
We have the largest market share of verified firms in P&I's Top 100 list.
- Pre-Compliance Consulting: Expert advice needed to bring your firm into compliance with the GIPS standards
- Firm-wide Verification: Independent review of your firm’s claim of GIPS compliance
- Performance Examination: In addition to a firm-wide verification, a composite-specific review can be performed
- 2020 GIPS Compliance Gap Analysis: Assistance in assessing the impact of the 2020 GIPS standards for your firm
- In-depth review of data, methodologies, records, controls, and disclosures to support calculating investment performance
- Assistance with the execution of the firm's compliance program
- Includes review of calculation methodologies for internal rate of return (IRR) for investments or funds in accordance with FINRA Regulatory Notice 20-21
- Results in a summary report to management, including findings and recommendations, in accordance with regulatory requirements and industry leading practices
- Review and examination of input data, methodologies, and assumptions used to support an investment performance track record
- Provides assurance and lends credibility to the underlying track record
- Results in customized performance certification report provided by ACA to the firm which may be used in marketing efforts
- Visualize how outliers impact overall composite performance
- Determine which composites are reasonable to pass on and which have issues that may need addressed before marketing performance
- Establish procedures to monitor portfolio managers and financial advisors to ensure management of the portfolio is adhering to the stated strategy
- Ensure any 'related performance' is not materially higher than that of a composite for the same strategy and in accordance with the SEC's new Marketing Rule
Why work with us?
Client feedback supports tailored focused approach to client service
Ability to leverage in-house regulatory and performance experience
Highly proven institutional quality service provider meeting the most stringent due diligence
Unique culture yields low turnover retaining dedicated, consistent teams year over year
Unmatched contribution to thought leadership and volunteer efforts with various industry associations
Extensive investments in proprietary technology to optimize efficiencies in client workflow
The New Marketing Rule: A Focus on Performance
Join ACA and K&L Gates for a detailed explanation of the specific performance requirements of the new Marketing Rule, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.
Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.
Mitigating Risks Associated with Composite Performance Reporting Using ACA’s Performance Analytics Services
In addition to developing marketing materials and ensuring appropriate disclosures, firms must ensure that the performance being generated truly reflects the fund or strategy being offered.
- SEC Advertising Rule
As February quickly moves into March, firms are looking to begin or finalize the updates needed for the GIPS Reports so that they can market 2020 performance results. Below is a checklist to help determine if your firm has considered all the items needed to ‘flip the switch’ over to the 2020 GIPS standards.
Our leadership team
Karen co-heads ACA's performance services practice and is responsible for growing and developing the practice.
Richard co-heads ACA's performance services practice and is responsible for growing and developing the practice.
Christie oversees the sales department and all new-client onboarding for ACA’s performance services practice.
Chase provides oversight on ACA's GIPS standards verifications and other investment performance engagements for traditional and alternative investment managers.
Greg provides oversight on ACA's GIPS standards verifications, investment performance engagements, and service and delivery initiatives for the performance services practice.
Julia provides oversight on ACA's GIPS standards verifications, investment performance engagements, and thought leadership for the performance services practice.
ACA Group announced today that ACA Aponix® is the recipient of the Accounting/Due Diligence Firm of the Year in the 20th Annual M&A Advisor Awards. The M&A Advisor Awards are the benchmark for dealmaking excellence, recognizing the leading M&A Transactions, Restructurings, Deal Financings, Product/ Services, Firms, and Professionals.
ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
Financial services providers that hold or control client money or assets must follow specific rules outlined in the Financial Conduct Authority’s (FCA) Clients Assets Sourcebook (CASS). This course is specifically designed to assist teams in dealing with client money audits and the client assets report, as well as helping them stay up to date with statutory and regulatory obligations in this complicated area.
We've again partnered with the National Society of Compliance Professionals (NSCP) to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs. Join us as we present the results of the survey.