ACA Compliance Group Introduces Additional Off-Site Surveillance Reviews

ACA Compliance Group is pleased to introduce six additional focused reviews as part of our off-site compliance support services. These reviews, which are provided by ACA’s dedicated team with specialized expertise in these areas, are designed to help CCOs with ongoing compliance monitoring in a broad range of risk areas. Our other off-site compliance support […]

Can a $24 Billion Hedge Fund Blow the Whistle? Citadel Thinks So

A whistleblower typically brings to mind the image of a back-office worker or disgruntled former employee, not a titan of finance. But Ken Griffin’s Citadel, the operator of a $24 billion hedge fund and a global trading arm, is shattering that mental picture. The Chicago-based firm has filed a request with the U.S. Commodity Futures […]

PRI Offers Compliance Resource to LPL Advisers

The Pension Resource Institute (PRI) is offering its retirement plan compliance resource, RetirementAdvantage, to LPL advisers at a 30% discounted price through LPL’s Vendor Affinity Program. RetirementAdvantage includes investment fiduciary and retirement plan consulting agreements for Employee Retirement Income Security Act (ERISA) 3(21) and 3(38) services, as well as Form ADV supplements for plan- and […]

ACA Compliance Group Introduces Additional Off-Site Surveillance Reviews

ACA Compliance Group is pleased to introduce six additional focused reviews as part of our off-site compliance support services. These reviews, which are provided by ACA’s dedicated team with specialized expertise in these areas, are designed to help CCOs with ongoing compliance monitoring in a broad range of risk areas. Our other off-site compliance support […]

Goldman on Disclosures, Strike Times; BNY, TRP, NTRS Waivers Drop

Money fund managers continue to enhance their websites to meet the new disclosure requirements that went into effect on April 14. Goldman Sachs Asset Management posted an update on the changes they’​ve made to comply with the SEC’​s reforms, and also announced strike times for their funds that will have floating NAVs in October. (​For […]

What to Expect in Your First 90 Days

The first three months of a new financial planner’s career are critical. Here are some tips to make them easier. Lots of energetic and passionate new planners around the country will start their careers this summer after graduation or the July CFP certification exam. The transition from financial planning student to professional can be bumpy, […]

SEC Adopts Business Conduct Rules and Chief Compliance Officer Requirements for Swap Dealers and Major Security-Based Swap Participants

On April 13, the Securities and Exchange Commission voted to adopt final rules (the “Final Rules”) implementing business conduct standards and chief compliance officer requirements for security-based swap dealers and major security-based swap participants (collectively, “Swap Entities”). Authority for the SEC to adopt the Final Rules is grounded in Title VII of the Dodd-Frank Wall […]

Feds eye mutual fund liquidity and hedge fund debt

After a two-year review, federal regulators in Washington on Monday raised a variety of concerns about the $60 trillion asset management industry. Their worries, described in a report on their findings, focused on a lack of data about the industry, liquidity concerns at large mutual fund complexes and over-leverage at big hedge fund firms. And […]