Insights
ACA Group Named Best Regulatory Consultancy - North America by RegTech Insight
ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.
- Compliance
- ACA News
Ransomware 101 Part 4: How to Engage with Law Enforcement After an Attack
How to empower organizations to contact law enforcement after an attack
- Cybersecurity
- Cybersecurity Resources
FCA Market Watch 68: Mind the Surveillance and Compliance Gaps!
The FCA's recent Market Watch 68 focuses on web-based trading platforms and the rates and fixed income products traded on them, and flags concerns about gaps in surveillance, monitoring and reporting. Read our guidance on what this means for firms
- Compliance
- ComplianceAlpha
- Trade & Transaction
- Managed Services
2022 Regulatory Filings Calendar
Download a printable calendar with key regulatory filing deadlines for the SEC, CFTC, NFA, FCA, and ESMA in addition to national holidays at a glance.
- Compliance
Observations from Examinations of Advisers that Provide Electronic Investment Advice
The SEC's Division of Examinations recently released their observations from exams of advisers that provide automated, electronic advice, also known as digital advisers, automated advisers, internet advisers, or robo-advisors.
- Compliance
FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions
FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions
- Cybersecurity
- Cybersecurity Resources
FINRA Updates Advertising Regulation FAQs
FINRA recently updated its FAQs about FINRA 2210, its advertising regulation, to provide firms with revised guidance.
- Compliance
- Performance
ACA Group and Foreside to Join Forces
The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
- ACA News
FINRA Releases AML/CFT Priorities
FINRA issued Regulatory Notice 21-36 urging firms to consider how to incorporate the government-wide Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Priorities into their AML programs.
- Compliance
- AML and Financial Crime
FinCEN Issues Amended Advisory on Ransomware and Use of Financial System to Facilitate Ransom Payments
New FinCEN update on ransomware
- Cybersecurity
- Cybersecurity Resources