ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to join us on June 22 at 2:00 PM ET as we share the results of our 2021 Investment Management Compliance Testing Survey.
Watch On Demand
Join us for 3 days of carefully curated sessions that will focus on how GRC professionals can reimagine, innovate, and strengthen their programs using the latest industry insights, peer perspectives, and best practices.
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.
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.
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.
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
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.
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported additional phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of "gateway-finra[dot]org" is being used.
With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline
- Regulatory Deadlines
SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations
On June 3, 2021, the U.S. Securities and Exchange Commission (SEC) instituted a cease-and-desist order against a previously registered investment adviser for alleged violations.
- SEC Advertising Rule
Following ACA Mirabella’s sixth successive win of the ‘Best Regulatory Hosting’ title at the HFM European Services Awards, Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM about the role that regulatory hosting platforms have played throughout the Covid-19 pandemic, the Brexit effect, the impact of remote working, and what lies ahead for financial services firms.
Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.
ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.
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.
ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs
ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.
Join ACA’s Alex Scheinman, Managing Director, and Paul Schappell, Senior Principal Consultant on Wednesday, June 23 as we review the key requirements and enforcement structures of the CPRA and the CDPA, discuss the prospect of future privacy regulations at the state and federal level, and share our perspective on what firms should be doing to meet their compliance obligations and avoid enforcement actions.
Join us Thursday, June 24 at 11:00 AM EDT for a live webcast as ACA Group and 4U Platform discuss the modernization of marketing, the macro trends shaping the future state of fintech and how collaboration is the critical ingredient to supporting it all.