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Insights
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Enhancing Off-Channel Communications Capture and Surveillance
This article provides actionable steps to set up an effective books and records surveillance program.
- RegTech
- eComms Surveillance
- ComplianceAlpha
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Navigating the Future of Data Governance: Insights from ACA on Nasdaq TradeTalks
Carlo di Florio, Global Advisory Leader at ACA Group, recently joined a panel for Nasdaq TradeTalks to share his expertise on the critical role of data governance in the financial services industry.
- Artificial Intelligence (AI)
- Compliance
- Cybersecurity
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OpenSSH Vulnerability Requires Immediate Action
A critical vulnerability has been discovered in OpenSSH, a widely used suite of secure networking utilities that provide encrypted communications over an unsecured network.
- Cybersecurity
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Common AML Schemes: Cybersecurity Tactics
Cybercriminals often use a variety of online platforms and technologies to facilitate the laundering of illicit funds.
- AML and Financial Crime
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The History of ETFs in the U.S.
From the launch of the first ETF in 1993, the market has continued to evolve in size and scope.
- Distribution
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FINRA Alert Regarding Form BR for Residential Supervisory Locations
FINRA issued an alert to member firms advising them not to close or withdraw Form BRs for Residential Supervisory Locations
- Compliance
- FINRA
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A Labour Government’s Regulation of the UK Asset Management Sector: Evolution, Not Revolution
The Labour Party vows to support innovation and growth for the asset management sector, but will they be able to deliver?
- FCA
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The Investment Manager’s Role in Mutual Fund Distribution
This article will discuss benefits and drawbacks to sponsoring and operating a proprietary fund trust or launching a product as a series of an existing shared trust.
- Distribution
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ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025
ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025
- ACA News
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Scrutiny of Off-Channel Communications Capture, Archive, and Surveillance
This article will delve into the recent buzz around off-channel communications and how your firm can prepare for the increased regulatory scrutiny.
- RegTech
- ComplianceAlpha
- eComms Surveillance