In addition to the paid consulting and outsourcing services offered by Accounting & Compliance International (ACI), the company strives to promote and provide educational opportunities for chief compliance officers and compliance staff, especially at small firms that do not have the same resources for compliance education...
ACI's Executive Compliance Consultant serves as a guest speaker in this Compliance Webinar, hosted by Compliance11, on The Future of Compliance Regulations. The Powerpoint Presentation from the Compliance Webinar is availalbe at: http://acisecure.files.wordpress.com/2010/09/webinar-compliance11-041310-v23.pdfFor a list...
Investment Advisor Registration Guest Article with FTFNews An investment advisor is any entity that provides fee-based advice regarding the buying and selling of securities. Under the Investment Advisers Act of 1940, investment advisors are required to register with either the SEC or the state - which one would depend upon ...
Comment Letter in regards to Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements. http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/noticecomments/p121073.pdf...
What new regulation bodes for retirement. Like the winds of war that swept through the antebellum South in the opening scenes of "Gone with the Wind," the investment and retirement world we know is changing and about to end badly. New regulation will reshape the landscape in ways that probably will make retirement more dif...
ACI receives a press mention in Insider Trading article by award-winning publication Investment News. Artice Quote: "This is the hottest topic right now," said Rick Nummi, executive consultant at Accounting and Compliance International. "At least once a week, we are getting calls from clients to come in and do a presentation on ...
Investment Advisor Registration is Likely to be Required - How to Prepare Your Fund
http://www.hedgeco.net/news/11/2009/hedge-fund-registration-is-likely-to-be-required-by-the-end-of-2009-%E2%80%93-how-to-prepare-your-fund.html...
