ACA Foreside

🚀 Entering Europe’s ETF market just got easier for our clients! We have teamed up with HANetf to launch a pioneering initiative for U.S. ETF issuers, opening the door to the European ETP landscape without changing investment methodologies or increasing end-product fees. For U.S. asset managers ready to expand their reach, this collaboration offers a powerful new pathway to Europe. Curious to learn more? Get the latest updates from Jason Knight and Beverly Chandler's recent conversation in ETF Express. 🔗 Click to read the article: https://hubs.ly/Q02XbltH0 🎥 Watch our webcast on this opportunity for clients: https://hubs.ly/Q02Xbxv70 #ETFs #ETPs #ETCs #AssetManagement

🏆 ACA Foreside is honored to be named Best ETF Distributor at the 2024 ETF Express US Awards for the third consecutive year! This recognition showcases our commitment to delivering best-in-class distribution services and helping ETF issuers and managers bring innovative, compliant products to market. A big thank you to our clients, industry partners, and talented team at ACA for making this possible with your continued trust and collaboration! 🤝 This achievement belongs to all of us. Learn why issuers and managers choose ACA to help them innovate and thrive, while remaining compliant in today’s competitive market: https://hubs.ly/Q02VQS_M0 #ETFs #ETFdistribution #launchgrowprotect Courtney Farrell Chris Lanza Joseph P.M. Higgins

Two years since the SEC’s Marketing Rule went into effect, the industry is still learning how to incorporate these stringent requirements into everyday practice. Join ACA and K&L Gates for an upcoming webcast where we'll share what we've learned from compliance challenges and enforcement cases. Register today to learn essential best practices for incorporating the rule into your marketing, client communications, and performance advertising. 📍Don’t miss this insightful discussion! Register now: https://hubs.ly/Q02Vw-cz0 #SEC #marketingrule #marketingcompliance #advertisingcompliance Julia Reyes Matthew Shepherd Lance C. Dial Pamela (McBurney) Grossetti

Adapting to FINRA's updated branch office inspection requirements can be challenging, but you don’t have to face it alone. With new rules in place and the Remote Branch Office Inspection Pilot Program now live, broker-dealers must act quickly to ensure their programs are up to date. Firms interested in remote inspections for 2025 have until December 27, 2024 to enroll, or they’ll need to continue with in-person inspections. Whether your firm is participating in the pilot program or sticking to on-site inspections, our experienced team is ready to help you navigate these changes with ease. Reach out today to schedule a consultation and learn how we can support your compliance efforts: https://hubs.ly/Q02TSZ7k0 #FINRA #brokerdealers #supervision #supervisoryprograms

We’re proud to announce that ACA Group has acquired Effecta Compliance Limited, enabling us to deliver unmatched governance, risk, and compliance (GRC) solutions to firms expanding into the UAE and navigating new challenges in the UK. “The acquisition of Effecta significantly enhances our ability to support clients as they look to launch, grow, and protect their presence in the rapidly developing financial centers of the UAE,” shared our CEO, Patrick Olson. ACA’s broadened services will help clients thrive in fast-growing regions. Dive into the full story and see how ACA can help your business power new possibilities 👉 https://hubs.ly/Q02TBJ6F0 #GRC #FinancialServices

Launching a new fund comes with unique compliance and operational challenges. Our Key Considerations Checklist is designed to help you navigate these hurdles with ease, from planning to promoting your fund while ensuring regulatory compliance. 🔑 Our team shares insights on how to set expectations, build a strong compliance infrastructure, and best practices for managing marketing obligations to support a successful launch. Download the checklist now to make your next fund launch a success: https://hubs.ly/Q02T8Cq30 #launchgrowprotect #fundlaunch #productdevelopment #ACAinsights

As the investment landscape becomes increasingly complex with the rapid rise of ETFs, ETPs, and cryptocurrencies, compliance has never been more critical. Ben Schneider, Senior Director of ACA Foreside's marketing review team, recently shared his insights at FINRA's Advertising Regulation Conference, highlighting the unique challenges broker-dealers face in maintaining regulatory compliance. In his discussion, Ben emphasized the importance of context in marketing these new financial products and the need for thorough understanding of the associated risks. As firms navigate this fast-paced environment, it’s crucial to ensure that marketing materials accurately reflect the characteristics and risks of these investment options. Curious about the key takeaways from the conference? Check out the full Financial Planning article for insights from Ben and other industry leaders on how to effectively market while remaining compliant. Keep reading here 👉: https://lnkd.in/gxUt-RHc #Compliance #InvestmentManagement #FINRA #ETF #Cryptocurrency #MarketingCompliance

Navigating the broker-dealer landscape can be complex. Knowing how to choose, approach, and develop consistent coverage can give you a significant competitive advantage. Our latest guide offers a step-by-step process to help you build stronger relationships with broker-dealers. 💼 Discover the secrets to successful partnerships! Click here to explore: https://hubs.ly/Q02SdpQq0 #assetmanagement #distribution #investmentmangement #ACAinsights

Today, on #NationalComplianceOfficerDay, we proudly recognize and celebrate the dedication, resilience, and expertise of compliance officers worldwide. 💼 🌎 ✔️ Your work is not easy, but it is essential. ✔️ You are the unsung heroes, safeguarding firms from financial penalties and reputational damage, while helping to protect the entire financial ecosystem. ✔️ You navigate complex regulations, evolving risks, and constant scrutiny—all while fostering trust within your organizations. To every compliance officer, especially our clients and ACA Group team members across the globe, thank you for your tireless efforts in keeping financial services firms on the right path. #CCOs #CCO #ChiefComplianceOfficers #ComplianceOfficers

Next week at FINRA's Advertising Regulation Conference in Washington, DC, our expert, Ben Schneider, will be part of a dynamic panel discussion about navigating the evolving landscape for funds, ETFs, and Exchange-Traded Products (ETPs). Ben and his fellow panelists will be discussing the latest on crypto-related ETPs, supervision considerations for new fund structures like options-based ETFs and single stock ETFs, plus share regulatory insights. Looking to ensure compliance as you grow your funds? We're here to help. ➡️ Find out how ACA helps asset managers and investment companies launch, grow, and protect their business: https://hubs.ly/Q02Qp9bV0 #FINRAadvertising #assetmanagement #marketingcompliance #advertisngreivew ACA Foreside