Insights
2025 FINRA Regulatory Filings Calendar
Get ready for the year ahead with our FINRA Regulatory Filings Calendar. This user-friendly resource outlines key reporting deadlines and ongoing annual regulatory obligations in a clear, easy-to-follow format.
- Compliance
- FINRA
ACA’s Most Popular Webcasts of 2024
ACA’s Most Popular Webcasts of 2024
- RegTech
- ComplianceAlpha
- eComms Surveillance
- Cybersecurity
- Performance
Countdown to Compliance: Ringing in 2025 with AML Readiness
For RIAs and ERAs, the new year presents an opportunity to strengthen AML compliance practices. With FinCEN’s AML Rule approaching, taking proactive steps now will help firms avoid last-minute stress, meet requirements confidently, and achieve full compliance readiness.
- AML and Financial Crime
Lessons learned about vendor management from Santa’s workshop
Santa’s workshop offers valuable insights for vendor management in the financial industry. With careful planning, continuous oversight, and high standards, firms can mitigate risks, enhance performance, and achieve seamless results.
- Managed Services
- RegTech
- Compliance
Carlo di Florio's Take on the Regulatory Landscape of Financial Services
Our President, Carlo di Florio, recently joined Eliot Raman Jones of the Waters Wavelength podcast for an engaging discussion about the evolving regulatory landscape in financial services.
- Compliance
Tis the Season for Testing: Why Mock Exams Are the Gift That Keeps on Giving
With regulators like the SEC, FCA, DFSA, and FSRA maintaining strict oversight, mock exams are a proactive way to identify and address compliance gaps. Prepare now to ensure your firm is ready to meet regulatory expectations and avoid costly surprises.
- SEC
Who's Been Naughty or Nice? Compliance Surveillance in 2024
As the holidays approach, it’s time to evaluate your firm’s compliance and surveillance practices. Are your systems on Santa’s "Nice" list, ensuring robust oversight, or teetering on the "Naughty" side, risking regulatory scrutiny?
- Compliance
The CFA Institute Finalized Guidance Statement for OCIO Portfolios
The guidance statement helps OCIO firms claim compliance with the Global Investment Performance Standards.
- Performance
- GIPS Standards
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
- RegTech
- ACA News
NAV Lending Regulatory Considerations
We explain the benefits of this type of funding and the considerations to take into account before choosing to do so.
- Compliance
- SEC