Insights
Investment Firm Regulation Update: Agreement Reached on Next Steps for New Prudential Regime for Investment Firms
The new prudential framework has been developed by the European Commission (EC) and will soon come into force for MiFID investment firms. For some, this will be the first time any onerous capital, liquidity and reporting regime has applied to them. The ‘prudential holiday’ that many commodity trading firms have enjoyed will soon be coming to an end.
- Compliance
- FCA
ACA Technology Solutions Wins Awards from HFM Technology, Alt Credit Intelligence, and Fund Intelligence
ACA Technology is the recipient of several recent industry awards.
- RegTech
Senior Managers & Certification Regime: 6 major challenges for firms
As firms look to address the FCA’s Senior Managers and Certification Regime (“SM&CR”), ahead of the December 9 deadline, we observe six common themes and challenges emerging from their project implementation.
- Compliance
Update Coming to the Three Lines of Defense Model
The Three Lines of Defense Model has gained popularity as the de facto model for organizing governance, risk management and internal control roles and responsibilities since the Institute of Internal Auditors (IIA) published “The Three Lines of Defense in Effective Risk Management and Control,” position paper in 2013. The IIA recently announced that they would embark on a key project to refresh and update this document.
- AML and Financial Crime
Highlights from the 2018 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey
Benchmarking your firm’s cybersecurity program against those of your peers is a smart way to identify the compliance gaps your firm should address. Here are the results of the 2018 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey.
- Cybersecurity
Top Reasons to Attend ACA’s Spring 2019 Compliance and Performance Conference
ACA’s Spring 2019 Compliance and Performance Conference is headed to sunny Miami!
- Events
2019 GIPS Compliance Notification Form Now Available
Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.
- Performance
FCA Speech Indicates Continued Focus on Market Abuse Regulation in the UK
Julia Hoggett, FCA's Director of Market Oversight, speech on the implementation of the Market Abuse Regulation in the UK.
- Trade Surveillance
- FCA
ACA Compliance Group Grows U.S. Compliance Team with Former CCOs, Attorneys, and Regulators
In 2018, ACA Compliance Group expanded their team to 270+ compliance professionals (and growing) with new employees who bring a wealth of industry experience, enthusiasm, and talent.
- ACA News
ACA Aponix Achieves HITRUST CSF Assessor Designation
ACA Aponix® has been designated as a HITRUST CSF Assessor by HITRUST. This achievement allows us to provide services using the HITRUST CSF, a comprehensive security framework that addresses the multitude of security, privacy, and regulatory challenges facing organizations in order to comply with healthcare (HIPAA, HITECH), third-party (PCI, COBIT), government (NIST, FTC), and other industry-specific regulations and standards.
- Cybersecurity