PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.
The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.
This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!