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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.

Guide
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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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

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

White Paper: Compliance Considerations for SPAC Sponsors

June 17, 2021

In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.

Report
  • Compliance

ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators

June 16, 2021

To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.

Press Release
  • Compliance
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ACA Group joins United Nations-supported Principles for Responsible Investment

June 15, 2021

Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).

Press Release
  • ESG
  • Compliance
  • ACA News

News

96% of Firms Unprepared for the FCA’s New Prudential Regime

With less than six months to go until UK investment firms are subjected to a completely new prudential regime, a recent survey reveals that the industry is vastly underprepared. The data shows that just 4% of respondents are ready and capitalised for the FCA’s new Investment Firm Prudential Regime (IFPR) coming into effect in January 2022. Learn more about what this means for firms.

Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider

Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.

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.

Upcoming events

Senior Management Obligations under the SM&CR - 11 August 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

Compliance Induction - 17 August 2021

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”.

Online Training