https://www.acaglobal.com/industry-insights/peer-analysis-understanding-todays-compliance-risks-and-solutions/
Peer Analysis: Understanding Today 's Compliance Risks and Solutions - ACA Group
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https://www.acaglobal.com/resources/case-studies/
Case Studies - ACA Group
Case Studies Topic Topic TopicAll TopicsArtificial Intelligence (AI)ComplianceComplianceAlphaCybersecurityFCAGIPS StandardsInvestment AdviserManaged...
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https://www.acaglobal.com/industry-insights/common-aml-schemes-real-estate/
Common AML Schemes: Real Estate - ACA Group
Money laundering and financial crimes pose large risks to financial firms, both from a reputational and regulatory perspective. However, these schemes can take...
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https://www.acaglobal.com/industry-insights/enhancing-investor-level-performance-calculations/
Enhancing Investor-Level Performance Calculations - ACA Group
Company: ArrowMark Partners Location: Denver, Colorado Financial Services Sector: Public and Private Credit and Equities, Leveraged Loans, and Real Estate...
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https://www.acaglobal.com/industry-insights/the-sec-reopens-registration-pathway-for-swiss-investment-advisers/
The SEC Reopens Registration Pathway for Swiss Investment Advisers - ACA Group
The SEC has lifted its moratorium on Swiss investment adviser registrations, resolving GDPR-related barriers. Discover what this means for Swiss firms seeking...
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https://www.acaglobal.com/industry-insights/ifpr-just-100-days-away-are-you-ready/
IFPR is Just 100 Days Away: Are You Ready? - ACA Group
Today marks 100 days until the UK’s Investment Firm Prudential Regime (IFPR) comes into force – setting in stone a new regime that significantly impacts...
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https://www.acaglobal.com/industry-insights/fca-market-watch-68-mind-surveillance-and-compliance-gaps/
FCA Market Watch 68: Mind the Surveillance and Compliance Gaps! - ACA Group
The FCA recently issued Market Watch 68, the latest in its newsletters on market conduct and transaction reporting issues. This edition focuses on platforms...
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https://www.acaglobal.com/industry-insights/an-overview-of-tender-offer-funds/
An Overview of Tender Offer Funds - ACA Group
Unlike interval funds, which conduct scheduled repurchases pursuant to Rule 23c-3, tender offer funds repurchase shares at the Board of Trustees (Board)’s...
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https://www.acaglobal.com/industry-insights/sec-action-2-1-million-fine-for-insufficient-cybersecurity-controls/
SEC Action: $2.1 Million Fine for Insufficient Cybersecurity Controls - ACA Group
On June 18th, 2024, the U.S. Securities and Exchange Commission (SEC) published a settlement report of their findings regarding violations to the 1934...
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https://www.acaglobal.com/company/strategic-partnerships/
Strategic Partnerships - ACA Group
Empowering Growth Through Strategic Partnerships Together, we help organizations and individuals in financial services achieve more. ACA partners with leading...
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https://www.acaglobal.com/resources/news-and-announcements/
ACA Group News - Corporate and Product Updates
News and Announcements Topic Topic TopicAll TopicsACA NewsArtificial Intelligence (AI)ComplianceCompliance Testing...
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https://www.acaglobal.com/resources/trending-themes-in-financial-services/
Trending Financial Services Themes | ACA Group
Stay on top of the financial services themes reshaping growth and risk. Learn how you can partner with ACA Group to help you execute with confidence.
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https://www.acaglobal.com/technology/surveillance-monitoring/
Surveillance and Monitoring - ACA Group
Elevate Your Surveillance and Monitoring with ACA ComplianceAlpha Detect, manage, and prevent compliance risks with confidence. Looking to transform and...
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https://www.acaglobal.com/company/experts/
Our Experts - ACA Group
Our Experts Our experts, with deep industry knowledge and market insight, shape our products and services to meet your needs and serve as a trusted guide for...
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https://www.acaglobal.com/company/
Governance, Risk, and Compliance Management | ACA Group
ACA Group specializes in governance, risk, and compliance management for financial services firms. Founded by former regulators, we offer expert solutions.
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https://www.acaglobal.com/industry-insights/checklist-how-ensure-compliance-financial-sanctions-obligations/
Checklist: How to Ensure Compliance with Financial Sanctions Obligations - ACA Group
Responding to the Russia-Ukraine conflict, the UK government has imposed sanctions on Russia. UK/Financial Conduct Authority (FCA)-regulated firms have an...
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https://www.acaglobal.com/industry-insights/to-ai-or-not-to-ai-what-advisers-need-to-know-about-the-technology-and-its-risks/
What Advisers Need to Know About the Technology and Its Risks - ACA Group
Discover why AI literacy is essential for investment advisers and how to manage the risks, governance needs, and oversight required for responsible adoption.
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