The SEC’s regulatory stance toward private markets has shifted significantly this year. A rollback of proposed rules, a renewed focus on intentional misconduct in enforcement,...
Article
Topic
Type
Company: Investment firmLocation: U.S.Financial Services Sector: Mutual Funds, Investment Advisor, Broker-Dealer Services Background Responsible Investing and Operational Growth This investment firm has pioneered responsible investing...
Case Study
Compliance
At ACA, we understand that preparation is key, especially when facing the complexities of SEC examinations. That’s why our SEC Mock Exams team is grounded...
Article
Compliance, SEC
In its five-year strategy plan (2025-2030), the FCA makes clear that financial crime is a key risk to the region. With a sharper focus on...
Article
AML and Financial Crime, FCA, Trade and Transaction Monitoring
At ACA, we believe that preparation is power, especially when it comes to navigating the complexities of SEC examinations. That’s why our SEC Mock Exams...
Article
Compliance, SEC
Organizations are becoming more comfortable with the use of AI, especially when using “containerized” instances in which the firm’s data is not exposed publicly, and...
Article
Artificial Intelligence (AI)