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Regulatory change is here for Private Fund Advisers

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FCA Signals Continued Focus on Market Abuse with Market Watch 58

With the publication of recent Market Watches in quick succession, the FCA appear to be increasing its focus on this topic in an attempt to improve standards and ensure that the UK has a clean, orderly and transparent market in which participants can trust.

Compliance Alert
  • Trade & Transaction
  • FCA
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ACA's Top 10 Blog Posts of 2018

The ACA Spotlight Blog recently celebrated its first anniversary. Here are our top 10 most read blog posts from 2018.

Article
  • ACA News
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Technology and AML – Understanding the Potential for Innovation

Technology is an essential weapon for financial services firms in the battle against anti-money laundering (AML). The Office of the Comptroller of the Currency (OCC) issued a joint statement with other regulators earlier this month encouraging financial institutions to try new and innovative ways of combating AML. Three types of technology – advanced analytics, software robots, and artificial intelligence (AI) – could help make it easier to detect and prevent money laundering, as well as comply with existing regulations and follow the guidance of this joint statement.

Article
  • AML and Financial Crime
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ACA Shortlisted for Multiple Awards for Compliance Advisory, Technology, and Cybersecurity

ACA has been shortlisted for multiple awards by the HFM US Hedge Fund Technology Awards 2019, Fund Technology and WSL Awards 2019, and Alt Credit Intelligence US Services Awards 2019, and Private Asset Management Awards 2019.

Press Release
  • RegTech
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Data Governance – Understanding its Importance for AML Compliance

While the financial institutions have the desire to improve the data quality and availability, data governance is often driven by external regulations to implement a program to ensure requirements outlined in DFS Part 504 regulation are met.

Article
  • AML and Financial Crime
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Third-Party Risk Management: DIY? Or Ask an Expert?

Performing third-party risk management (TPRM) on vendors is a complex, high-stakes process. So how do you decide what is the right solution for your company? Here are 5 key differences to help you determine whether process automation or process outsourcing is best for your company.

Article
  • Cybersecurity
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UK Buy Side Should Prepare for More FCA Market Abuse Scrutiny

The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at a

Compliance Alert
  • Compliance
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Employee Data Governance Policies: Minimizing Impact, Maximizing Value

Regulatory mandates and pressure from investors are driving firms to implement new security policies which can be challenging for employees. Here's a set of key guidelines to minimize the impact and maximize the value of implementations for your employees.

Article
  • RegTech
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How RegTech Helps Compliance Teams Increase Efficiency and Reduce Risk

Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.

Article
  • RegTech
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Year-End Compliance Checklist for CCOs

With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.

Article
  • Compliance