April 22, 2019
- This Week's Issue
- Commissioner Raises Concerns that Staff Guidance Amounts to ‘Secret Law’
- Regulation S-P: OCIE Puts Advisers and Broker-Dealers on Notice
- Individual Adviser Representatives Not Immune from SEC Prosecution
ACA Insight is a weekly newsletter that provides investment adviser compliance officers and attorneys with the news, analysis and best practices they need to help them ensure that their firms are in compliance with securities laws and regulations.
ACA Insight strives to do three things:
1. Act as your radar screen. If the SEC, DOL, FINRA, states, or Congress do or say something that affects SEC-registered advisers, ACA Insight will bring it to your attention right away. ACA Insight is concise, reliable, and relevant.
2. Provide you with best practices. For each new regulatory challenge, ACA Insight will provide you with steps you can take to help get your own firm in compliance. ACA Insight translates the legalese into straightforward plain English, so you can get a quick overview of what a new rule requires, analysis of what it means, and nuts-and-bolts steps to help you comply. Moreover, ACA Insight highlights emerging interpretive issues spotted by top investment management lawyers, as well as the practical issues that compliance officers on the ground grapple with.
3. Keep your finger on the pulse. Each week, ACA Insight talks to a variety of industry participants – compliance officers, regulators, in-house counsel, vendors, top law firm partners – and solicits their informal and candid views on a variety of topics. These articles provide you with crucial insight on where the industry is going in particular areas.
An annual subscription to ACA Insight is $1,195 (DC residents add 5.75% sales tax) and includes:
Site licenses are available. A site license allows multiple employees of the same firm to enjoy online access to www.acainsight.com. Call (800) 508-4140 for details and pricing.
April 22, 2019
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.