2022 SEC Priorities and Focus Areas
We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.
Webcast
Performance Services
Global Investment Performance Standards (GIPS®) compliance and investment performance services
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.
(P&I top 100 list compared to the eVestment database as of 12/31/2021)
Our solutions
- 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
On demand webcast
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.
Featured insights
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.
Article
- Performance
- SEC Marketing Rule
The 2020 GIPS Standards: Have you ‘flipped the switch’ yet?
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.
Article
- Performance
Our leadership team
Karen Foley
Partner, Co-Head Performance Services
Richard Kemmling
Partner, Co-Head Performance Services
Christie Dillard
Partner, Performance Services
Chase Frei
Partner, Performance Services
Greg Hogan
Partner, Performance Services
Julia Reyes
Partner, Performance Services
News
Celebrating Asian and Pacific Islander American Heritage Month
May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!
ACA Mirabella Awarded HFM's Title of Best Regulatory Hosting Platform
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
Upcoming events
Annual Compliance Training - 7 June 2022
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.
Online Training
Financial Crime Prevention - 22 June 2022
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.
Online Training