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ACA Group: Reimagine GRC

ACA Compliance Group is now ACA Group. We are the leading governance, risk, and compliance (GRC) advisor in financial services.

Blog
We recognize that the past year has been extremely challenging and trying for our employees. That's why we're giving employees one week of paid time o ff to Rest, Recharge, and Renew from July 5-9.

Webcast
Watch our demo of the latest innovations for ComplianceAlpha® , including new features and technology such as natural language processing (NLP) for marketing reviews and legal document tracking (side letters and NDAs), a new integrated eLearning solution, and more.

Report
ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in the year ahead and what risk and compliance leaders need to know to stay ahead of the curve.

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Scalable GRC solutions tailored to your business

We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

Address financial crimes-related threats and regulatory concerns with our team of former regulators and auditors.

Strengthen your compliance program with our global team of compliance professionals.

Build cyber and operational resilience across your firm with our ACA Aponix® cybersecurity and technology risk experts.

Gain clarity on your firm’s ESG requirements and build a strong compliance program with our dedicated ESG advisory practice.

Maximize your firm’s time and efficiency with our technology-powered managed services.

Get your firm up and running quickly with our regulatory hosting support services in Europe.

Stay in compliance with the GIPS® standards and investment performance rules with the world’s largest team of GIPS standards verifiers.

Build a scalable and resilient compliance program with our ComplianceAlpha® regulatory technology  platform backed by managed services support.

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Solution Spotlight

Tech-powered managed services

ComplianceAlpha® is our award-winning regulatory technology platform that integrates risk and compliance activities, automated surveillance, testing, dashboard reporting, analytics, and managed services. See why ComplianceAlpha is helping over 800 financial services firms worldwide build more scalable and resilient compliance programs.

Who we serve

Over 3,500 financial services firms trust us to help them protect and grow their business.

Money Managers

88%

Of the top 50 money managers, as noted in the ADV Ratings September 2020 ranking data

Hedge Fund Managers

85%

Of the top 100 hedge fund managers, as noted in the May 2020 edition of Hedge Fund Alert 

Private Equity Funds

84%

Of the top 100 private equity funds, as noted in the May 2020 PEI 300

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We understand your challenges and what you need to protect your business.

We’ve been in your shoes - when you work with us, you’ll have the peace of mind that comes from working with the most trusted and experienced GRC advisor in the financial services industry.

Our team’s unique combination of talent includes the largest number of former regulators, compliance professionals, legal professionals, and GIPS standards verifiers in the industry, along with practitioners in cybersecurity, performance, ESG, and regulatory technology.

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We hold ourselves accountable for excellence in everything we do.

We derive immense pride from the quality of our work, the excellence of our client service, and the integrity of our team. We are committed to delivering quality, high-touch service and solutions tailored to your business.

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We have our finger on the pulse of today's evolving risk and regulatory environment.

Our unique perspective is informed by the insights, trends, and benchmarking data gathered from over 3,500 GRC clients.

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We can grow with you as your business grows.

Our innovative approach integrates expert consulting, on-demand managed services, and cutting-edge technology to help our clients build scalable and demonstrable compliance programs.

Latest insights

brexit 2

EEA Firms in the TPR: Have you Received your Landing Slot to Apply for Full Authorisation in the UK?

June 24, 2021

Firms that signed up to the Brexit Temporary Permissions Regime (TPR) will shortly be sending you a ‘landing slot' from the FCA to apply for full authorisation in the UK. Learn more about the process, and why this is not as straightforward as it seems.

Compliance Alert
  • Brexit
  • FCA
  • Compliance

SEC Request for Information About SolarWinds Compromise

June 24, 2021

The SEC is conducting outreach to firms who may have been a victim of the SolarWinds breach with a voluntary request to produce information.

Cyber Alert
  • Cybersecurity

Fill the Gaps this Summer with Additional Compliance Support

June 21, 2021

After the challenges of the past year, many people are looking forward to a return to normalcy and preparing to return to the office. Across the industry, many firms are dealing with an increase in staff turnover as we turn the corner post-pandemic. Other firms, including ACA, are gearing up for summer breaks to recharge. But in the compliance industry, taking a break from work isn’t as simple as turning on your “out of office” message and walking out the door.

Article
  • Compliance
  • Managed Services

AML Update for Investment Advisers

June 18, 2021

The 2015 FinCEN Proposal and several other financial crime risks make AML relevant for investment advisers and all other participants in the securities and financial industry. This update summarizes key developments in the AML space during the first half of 2021 and how they may impact your firm.

Compliance Alert
  • AML and Financial Crime
  • Compliance
Juneteenth

Juneteenth – A Time to Reflect

June 18, 2021

Juneteenth, Freedom Day, Jubilee Day, Liberation Day, Emancipation Day – These are all names for the day we recognize that a group of enslaved people in Galveston, Texas finally learned that they were free from the institution of slavery - June 19, 1865. What makes this day so significant is that this was two and a half years after the Emancipation Proclamation by President Lincoln, a constant reminder that significant change can unfortunately take time.

News
  • ACA News
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New Research Shows That 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

June 17, 2021

Recent research and analysis shows 97% of reports under MIFIR/EMIR contain inaccuracies, on average each report has 30 separate error types. But worryingly, despite this, 87% of firms are confident in the quality of their reports. On the anniversary of EMIR REFIT, data quality is still poor

Press Release
  • Compliance
  • Trade & Transaction
  • Managed Services
  • ACA News

News

Juneteenth – A Time to Reflect

Juneteenth, Freedom Day, Jubilee Day, Liberation Day, Emancipation Day – These are all names for the day we recognize that a group of enslaved people in Galveston, Texas finally learned that they were free from the institution of slavery - June 19, 1865. What makes this day so significant is that this was two and a half years after the Emancipation Proclamation by President Lincoln, a constant reminder that significant change can unfortunately take time.

Celebrating Pride Month and Diversity at ACA

ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.

ACA will Rest, Recharge, and Renew in July

At ACA, we recognize that the past year has been extremely challenging and trying for our employees. We also understand that our employees have whole lives, and that work is just one component of those lives. To this end, we are doing something we have never done before. We are providing employees with one week of paid time off to Rest, Recharge, and Renew.

Upcoming events

Money Laundering Reporting Officer: The Role and Responsibilities - 30 June 2021

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training

Compliance Officer: The Roles and Responsibilities - 6 July 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training

Senior Management Obligations under the SM&CR - 8 July 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training