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Guidance and insights on regulatory proposals, enforcements, and risk alerts

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ACA Compliance Group Named Best Regulatory & Compliance Firm by Private Equity Wire

ACA's consultancy practice voted best regulatory and compliance firm, recognising excellence by GP managers and service providers in the U.S.

News
  • ACA News
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FINRA Warns of Fraudulent Survey Emails

The Financial Industry Regulatory Authority (FINRA) has issued an alert regarding the appearance of fake emails purporting to be from the authority requesting that recipients fill out a survey. Learn what to look out for and how to protect your firm.

Cyber Alert
  • Cybersecurity
  • Phishing
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The Schrems II Decision: What Now?

U.S. companies are finding themselves on uncertain terrain as they struggle to understand the implications of the recent EU decision to strike down the Privacy Shield agreement Get ACA's guidance on what steps to take to reduce risk in data transfers.

Article
  • Cybersecurity
  • Privacy
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ACA Aponix® Launches New Cybersecurity Offering, Aponix Protect™

New cybersecurity program offering provides firms with a risk management framework to boost cyber and operational resilience.

News
  • ACA News
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Demand for Risk and Compliance Outsourcing Jumps Over 25% in the Age of COVID-19

Risk and compliance teams in financial services turn to trusted third parties amid business disruption and RiskMutation™

News
  • ACA News
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Introducing the Aponix Protect Cybersecurity Program

We’re excited to announce our new complete cybersecurity program, Aponix Protect, a comprehensive cybersecurity and technology solution offering provides firms with a risk management framework to boost cyber and operational resilience.

ComplianceAlpha Update
  • Cybersecurity
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RiskMutation™ Drives Firms to Seek Enhanced Solutions for Managing Rapidly Evolving Risk and Compliance Challenges

RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.

Article
  • Compliance
  • RiskMutation
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SEC Registration Freeze Has Been Lifted For UK-Based Firms

Indications are that the SEC has begun to approve pending registrations of UK-based advisers wishing to do business in the U.S or to attract U.S. investors. We outline what this means for firms.

Compliance Alert
  • Compliance
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Treasury Department Issues Advisories Related to Ransomware

On October 1, the U.S. Treasury’s FinCEN and OFAC issued advisories warning of the growing threat of ransomware to U.S. business and individuals, describing recent trends in that area of digital crime, and pointing to the needs for proper safeguards and reporting, especially in light of potential violations of sanctions rulings.

Cyber Alert
  • Cybersecurity
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AML in the News Results in Plans for Modernizing AML Regulations

Recent news articles revealed the leak of 2,100 suspicious activity reports (SARs) filed by financial institutions that described multiple instances of investment fraud and money laundering in the U.S., Europe and across the world.

Compliance Alert
  • AML and Financial Crime