ACA Insight @acainsight
ACA Insight is a newsletter covers securities laws and regulation news, analysis and best practices impacting investment advisers. acainsight.com Washington, DC Joined December 2015-
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Former #examiners tell what NOT to do during an #SECvisit. bit.ly/2oHepBv
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ACA Insight retweeted
$BK and @ACACompliance launch Practical Guidance: the GIPS Standards for Asset Owners white paper. Learn more: bny.mn/2cm5Rwp
#SEC said advisory firm didn’t supervise #CCO. Later it cancelled adviser’s registration. Sad! Read here: bit.ly/1Tz8NBE
Tension between FSOC and the #SEC grows more intense over proposed rules on #liquiditymgmt and #derivatives! bit.ly/1OfsGMl
Will the #SEC require #investmentadvisers to disclose fees to clients in dollars, not percentages? Find out: bit.ly/1UcsHqH
#Compliance departments need to monitor their own staff to ensure they are compliant with #SEC regulations: bit.ly/1q48xmH
ACA Insight retweeted
Join us in Boca Raton, FL for ACA's Spring 2016 Compliance Conference #ACAspring2016 lnkd.in/b4iPvCc
ACA Insight retweeted
#FINRA Regulatory Actions October - December 2015 lnkd.in/bK3snBh
Look out – #SEC will used increased dollars in 2017 to step up enforcement and oversight. bit.ly/1pYSN4P
Did you see that the #SEC examination unit was criticized by #OfficeoftheInspectorGeneral? We have the details: bit.ly/1Rx9m3G
ACA Insight retweeted
Read ACA's March 2016 #BrokerDealer Newsletter covering the #SEC and #FINRA’s 2016 Exam Priorities. lnkd.in/bSg3_Ty
Did simple fee calculation mistakes by an #investmentadviser lead to an #SEC enforcement action? Find out: bit.ly/1ptP9jo
Learn the top 10 #cybersecurity steps #investmentadvisers need to take: bit.ly/1M3hCRt.
#MaryJoWhite justifies #SEC expansion into areas beyond disclosure acainsight.com/issues/1_524/n…
#Compliance costs continue to mount, making it difficult for #advisoryfirms to turn a profit. Find out more: bit.ly/247TvvW
ACA Insight retweeted
Attend the free webcast on on 2/24 covering the Draft Guidance Statement on Broadly Distributed Pooled Funds tinyurl.com/hdyuk22 #GIPS
ACA Insight retweeted
SEC and @FINRA_News will hold regional compliance outreach programs for broker-dealers: ow.ly/Y0soi
#Investmentadvisers get ready for more exams. #SEC adding 100 more examiners, reassigning some from #brokerdealers: bit.ly/23TlfV7
ACA Insight retweeted
ACA Insight retweeted
News release: SEC completes muni-underwriter enforcement sweep: ow.ly/XRc4E
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