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Insights and alerts related to the SEC's new Marketing Rule

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Regulatory change is here for Private Fund Advisers

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Before You Launch: An Essential GRC Checklist

Essential GRC checklist for FCA and SEC compliance to help you launch your venture successfully

Article
  • Compliance
  • FCA
  • SEC
  • ESG
  • Cybersecurity
  • AML and Financial Crime
  • RegTech
  • ComplianceAlpha
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Vulnerabilities Discovered in Common UNIX Printing System (CUPS) Can Enable DDoS Attacks

Recent vulnerabilities in CUPS service present significant risks, particularly for Distributed Denial of Service amplification attacks.

Cyber Alert
  • Cybersecurity
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No Conversation Left Behind: ACA's Advanced Communication Channel Capture for Total Oversight

ACA Expands Communication Channel Capture to Strengthen Compliance Oversight

News
  • RegTech
  • ComplianceAlpha
  • eComms Surveillance
  • ACA News
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ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month

ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month. Reflecting on a decade of cybersecurity leadership, technological advancement, and industry recognition for financial services

News
  • ACA News
  • Cybersecurity
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Q4 2024 Regulatory Reporting Deadlines

Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from October through December 2024.

Article
  • Compliance
  • FCA
  • FINRA
  • Regulatory Deadlines
  • SEC
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Honoring the Legacy of Michael Lehman

ACA remembers and honors the life of Michael Lehman, the co-founder of Decryptex, now known as our Market Abuse Surveillance solution, a cornerstone of ACA’s ComplianceAlpha® platform today.

News
  • ACA News
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CFTC Approves Registration Amendments

The CFTC approved some of the proposed amendments to CFTC Regulation 4.7.

Compliance Alert
  • Compliance
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The ESAs Solidify Their Expectations Under DORA

The ESAs’ second wave of DORA policy products underscore the urgency for firms to ensure readiness.

Article
  • Cybersecurity
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FINRA’s Residential Supervisory Location Reporting Requirements

FINRA has established streamlined reporting requirements for RSLs through Form U4.

Compliance Alert
  • Compliance
  • FINRA
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AML/CFT Program and SAR Filing Requirements for U.S. Investment Advisers

FinCEN issued a final rule imposing AML and CFT program and SAR filing requirements on RIAs and ERAs.

Compliance Alert
  • AML and Financial Crime