See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

December 19, 2016

This Week's Issue

View and print the current issue in .pdf format.
Continue Reading

2016 in Review: Enforcement, New Rules and Cybersecurity

A lot happened in 2016, but the question hovers like a cloud over the asset management industry: Will Donald Trump change all that?
Continue Reading

'Tis the Season for Gift-Giving Policies and Procedures

Whether advisory firm employees are gift-givers or gift-receivers this month, they need to make sure they follow not only gift regulations, but the firmís policies and procedures. Chief compliance officers should make use of the holiday spirit to ensure that their firmís policies and procedures are in accordance with regulatory requirements, and that they are followed.
Continue Reading

Ceresney’s Departure May Not Mean Less Enforcement

SEC Division of Enforcement director Andrew Ceresney, who will leave the agency before the end of the year, oversaw a period of increased enforcement of financial institutions, not least of which was investment advisory firms. But advisers and their defense counsel would be premature to break out the champagne bottles just yet. Not that much may change.
Continue Reading

Note to Readers

The next issue of ACA Insight will be dated January 2, 2017. Have a happy and safe holiday season.
Continue Reading