RMA NY Annual Regulatory Roundtable
Please join ACA at the RMA NY Chapter Annual Regulatory Roundtable on Wednesday, June 5, 2024
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
Investment management firms with operations in Hong Kong must turn its attention to the new Securities & Futures Commission (SFC) Fund Manager Code of Conduct (FMCC), which comes into force in four months. The package of new rules will apply to anyone licensed to carry out asset management regulated activity in Hong Kong. Here are five key steps to reach compliance with the SFC’s new FMCC.
Discussion of recent developments in the regulation of digital assets, and how investment advisers’ compliance programs can adapt to manage related risks. This post provides ACA's take on a few of the most commonly asked questions.
MiFID II has reached its six-month milestone. After gruelling and expensive implementation projects, many firms may have hoped to draw a line under the regulation roll-out. But the effects of the European Union’s directive are still being felt by financial firms and recent statements from the regulator suggest that scrutiny levels are set to rise.
When sworn in as Chairman in May 2017, Jay Clayton was expected by many to usher in a period of significant adjustment at
ACA announced continued growth and expansion of West Coast private equity practice.
The FCA revealed at its recent Asset Management Conference that it will be undertaking a ‘diagnostic’ review of research and inducements at a range of organisations. It is expected that the FCA will be pragmatic in their assessment, taking a risk-based approach to analysing measures adopted to date. However, firms should be prepared to justify their approach should they be in scope of any such reviews.
We are honored to be one of the first firms to be recognized by the FinCrimeTech50 in its inaugural year.
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.
Please join ACA at the RMA NY Chapter Annual Regulatory Roundtable on Wednesday, June 5, 2024
Please join ACA Group, Sidley, and the IAA in New York for an engaging conversation about hot topics for investment advisers.