Common Practices for GIPS® Compliance
ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"
Webcast
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.
Report
Key Trends and Forces Shaping Risk and Compliance Management in 2021
2020 saw interrelated shifts and changes on a scale not seen since The Great Depression: global economic turmoil, supply chain disruptions, and increased cyber and regulatory threats, among others. At ACA, we call this phenomenon RiskMutation™.
In this report, ACA's Carlo di Florio analyzes the financial industry trends and broader forces impacting risk and compliance management in 2021. The report also explores the concerns, pain points, and focus areas of risk and compliance leaders from hundreds of firms polled by ACA.
Download the report to learn what you need to know to stay ahead of the curve and successfully navigate RiskMutation as it happens.
Latest insights and alerts
ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators
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
ACA Group joins United Nations-supported Principles for Responsible Investment
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
The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation
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
Article
- Compliance
- FCA
- Regulatory Deadlines
Q&A: Supporting the Evolution of the Industry
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.
Article
- Mirabella
- Compliance
- Brexit
ESG Examinations in Full Swing, and Most Advisers are Candidates
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.
Compliance Alert
- ESG
- SEC
- Compliance
ACA Group Boosts UK-based SEC Consulting Team
Martin Fawzy joins ACA’s dedicated team, offering SEC regulatory consulting for firms located outside of the U.S.
Press Release
- Compliance
- SEC
- London
- ACA News
Events
Compliance Officer: The Roles and Responsibilities - 21 October 2021
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Online Training
What Concerns You? Cyber Concerns and Action Plans
Join ACA Aponix for a review of the top 5 concerns identified by our clients and the actions they plan to take to increase their first line of defense against bad actors.
Webcast