Join us Tuesday, July 27 at 2:30pm ET for a live discussion about the regulatory and legal developments surrounding digital asset securities and what broker-dealers should consider if they are thinking about investing in digital assets.
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.
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.
The SEC’s new marketing rule is in effect and the compliance date is set for November 4, 2022. To help firms prepare for the compliance date, ACA released the “Guide to the Presentation of Performance Under the New SEC Marketing Rule”.
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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.
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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.
Of the top 50 money managers, as noted in the ADV Ratings September 2020 ranking data
Hedge Fund Managers
Of the top 100 hedge fund managers, as noted in the May 2020 edition of Hedge Fund Alert
Private Equity Funds
Of the top 100 private equity funds, as noted in the May 2020 PEI 300
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.
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.
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.
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.
July 23, 2021
This series addresses multiple aspects of the ransomware issue, including what you should know and what you should do to protect your organization, your clients, and your finances. This article describes the evolution of ransomware and describes recent developments. It answers the question “what is ransomware and do I need to worry about it?”
July 22, 2021
This year, heads of state, climate experts and campaigners will meet at the 26th United Nations Climate Change conference (COP26) to agree coordinated action to tackle climate change, but which developments are likely to be most important from the perspective of the financial services industry? And what does all this mean for firms in the future?
July 22, 2021
Remote attackers can exploit a flaw in Fortinet to gain unauthorized access to devices, and then exfiltrate data or perform other criminal activities from within the breached network.
July 21, 2021
The FCA is now offering firms that signed up to the Temporary Permissions Regime a “landing slot” to apply for full authorisation. Firms that miss their slot risk losing their temporary permissions completely. Read our FAQ's to learn more about your requirements.
July 21, 2021
The U.S. TSA and DHS have issued a directive to operators of fuel and gas pipelines that requires them to improve their cybersecurity defenses.
- Portfolio Company Risk Management
July 20, 2021
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and ESMA occurring from July through September 2021
- Regulatory Deadlines
ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards
Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.
ACA Group (ACA) today announced that Aimee Egan has joined the firm to lead all go-to-market functions (including Sales & Marketing) in a newly created role of Chief Commercial Officer. Aimee will join ACA’s executive leadership team and will oversee the execution of ACA’s growth plan.
Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.
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).
Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.