Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Continued Developments in International Measures Against Russia
We explore how the continued regulatory developments from Western governments relating to Russia’s actions towards Ukraine affect financial firms.
Article
- Cybersecurity
- Cybersecurity Resources
- AML and Financial Crime
- Compliance
SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms
The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.
Article
- Compliance
- eComms Surveillance
- RegTech
NSCP Firm and CCO Liability Framework Can Ease CCOs’ Liability Concerns
The NSCP Framework is a practical approach to CCO liability that promotes investor protection and market integrity, addressing compliance professionals' fears of being held personally liable in unreasonable situations.
Article
- Compliance
SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
On February 10, 2022, the SEC voted to propose amendments regarding beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed rules would accelerate the filings deadline of Schedule 13D and 13G filings.
Compliance Alert
- Compliance
FCA Reminds Firms of their Financial Sanctions Obligations in the Light of New UK Measures Against Russia
The FCA has reminded firms of their financial sanctions obligations in the light of new UK measures against Russia. We outline key reminders and requirements for regulated firms to observe.
Compliance Alert
- Compliance
Ukrainian-Russian Conflict Escalates: How Developing Sanctions Affect U.S. Asset Managers
All U.S. persons and entities, including financial firms, are required to abide by the current OFAC sanctions against Russia. Firms should review their KYC, sanctions, and due diligence efforts in light of the changing OFAC mandates.
Compliance Alert
- AML and Financial Crime
- Compliance
Events
2024 FINRA Annual Conference
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Conference
Navigating AI Implementation: Compliance Considerations for Private Markets
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.
Webcast