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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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Are You Ready for 2020? Peer Benchmarking Your Firm's RegTech Program

As you prepare to close 2019 strong and get ready for 2020, budgeting for RegTech as an efficient and cost-effective way to drive efficiencies and build a strong compliance program should be top of mind. Download our infographic to see how your peers are implementing - and budgeting for - RegTech.

Article
  • Regulatory Technology

Consultant's Corner Q&A: Preparing and Prioritizing for 2020

With less than three months of the year remaining, compliance professionals are feeling the pressure to cross off those final to-do’s for 2019 and build a strong foundation for 2020. To get firsthand insight on the challenges CCOs face, we sat down with one of ACA’s newest senior principal consultants and former CCO, Leigh Emery, to chat about the year-end obstacles, how to overcome them, and what trends to prepare for in 2020.

Article
  • Compliance

Transaction Reporting: Seven More to Study

Following on from Market Watch 59, the FCA has just published Market Watch 62 where yet again it is taking aim at the numerous data quality issues seen in MiFIR transaction reports. The FCA’s persistent focus on the topic and the fact that many firms do not appear to be taking on board their observations make it increasingly likely that the FCA’s patience might be wearing thin.

Compliance Alert
  • Trade & Transaction

ACA Compliance Group Enhances Automated Trade Blotter Review Tool to Align with the SEC’s Latest Trading Data Request Template

ACA's automated trade blotter review tool includes a trading file request template that aligns with the SEC's latest data request template to help registered investment advisers more thoroughly, proactively, and efficiently prepare for a potential SEC examination.

Press Release
  • Regulatory Technology
  • Trade Surveillance

How RegTech Can Transform Your Business

ACA's Patrick Conroy recently shared his insights on the benefits of regulatory technology (RegTech) with FT Adviser.

Article
  • Regulatory Technology

Robotic Process Automation for AML Compliance

Robotic Process Automation (RPA) refers to the use of software to perform repetitive, routine tasks that are considered monotonous and uninteresting to humans.

Article
  • AML and Financial Crime

ACA Compliance Group opens new office in Birmingham to expand European presence

ACA’s new Analysis and Review Centre provides a dedicated compliance resource hub to support financial service firms with their essential everyday regulatory responsibilities.

Press Release
  • Managed Services
  • Compliance
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Cybersecurity from Home to Work

A cyber-attack can happen at any time, often when we least expect it. Many of us wouldn't even think of the possibility of being hacked during something as routine as our morning commute. However, the reality is that many of us use electronic devices every day, all day, that can become targets for cyber crime. The good news is we can prevent these attacks. This blog post discusses how.

Article
  • Cybersecurity
ACA Threat Intelligence Alert Blog Image

CCPA Amendments Signed Into Law

Learn more about the California Consumer Privacy Act (CCPA) amendments signed into law October 11, 2019. The CCPA, with the accepted amendments, will go into effect on January 1, 2020.

Compliance Alert
  • Cybersecurity
  • Privacy

FINRA Releases Resources for Regulation Best Interest

On October 8, 2019, FINRA released a new Reg BI and Form CRS Checklist to help firms determine whether their supervisory systems are in compliance with Regulation Best Interest and the Form CRS Relationship Summary.

Compliance Alert
  • Compliance