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Insights

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

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Our thoughts on the RiskMutation™ phenomenon affecting the future of risk and compliance

Insights and alerts related to the SEC's new Marketing Rule

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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More work to be done by firms around MiFID II unbundling practices, says UK FCA

Despite being pleased with progress so far around Research Unbundling, the FCA says it's a work in progress. The regulator will conduct another review in 18-24 months. What must firms consider to ensure their approach to research payments meets regulatory expectations?

Compliance Alert
  • Compliance

ACA Compliance Group Launches Next-Generation RegTech Platform ComplianceAlpha

ComplianceAlpha helps global financial services firms to strengthen and streamline their risk and compliance program across the enterprise from a single location.

Press Release
  • Regulatory Technology
  • ComplianceAlpha

7 Vital Components of an Internal Audit Charter

The Institute of Internal Auditors (IIA) published a new position paper on September 19, 2019 about the importance of an Internal Audit Charter and how it enhances the effectiveness of the Internal Audit function.

Article
  • AML and Financial Crime

SEC Adopts ETF Rule

On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.

Compliance Alert
  • Compliance

The Next Generation of ComplianceAlpha is Here!

We’re excited to announce the launch of ComplianceAlpha® 2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.

ComplianceAlpha Update
  • Regulatory Technology

Analysis and Review Center Celebrates 5 Years of Centralized Managed Services

In 2014, the ARC was created to provide a simple way for CCOs to outsource the exhaustive and time-consuming task of email communications reviews. Today, the ARC is a dedicated knowledge center that provides efficient, scalable, and cost-effective compliance support to thousands of firms with over 10 established services as well as client tailored, bespoke solutions. Learn more about how the ARC has evolved and why managed services are the wave of the future for compliance.

Article
  • ACA News
cyber lock

October is Cybersecurity Awareness Month!

Breaches and cyber incidents occur when employees are not fully trained on how to identify cyber issues, policies are not being followed, and third-party systems are not fully vetted or secured.

Article
  • Cybersecurity

SEC Guidance on Investment Adviser Proxy Voting Responsibilities

On August 21, 2019, the U.S.

Compliance Alert
  • Compliance

ACA Compliance Group Launches Holistic Surveillance Solution for Financial Services Firms

ACA’s holistic surveillance solution brings together ACA’s established surveillance services and technology solutions in a comprehensive package designed to help firms meet the surveillance expectations of regulators as well as to replicate their technological capabilities.

Press Release
  • Trade Surveillance
  • Compliance
  • Regulatory Technology
  • ComplianceAlpha

Five Key Takeaways from ACA’s Boston Hedge Fund Briefing

ACA’s Hedge Fund Practice hosted a breakfast event in Boston with local CCOs, with a fireside chat with senior staff from the Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) and Division of Enforcement. The SEC staff discussed priorities pursued by OCIE and Enforcement, the SEC’s use of data analytics, challenges related to deficiencies (or a lack there of) stemming from exams, and expectations around firm’s trade surveillance policies, procedures, and practices. Read our key takeaways.

Article
  • Compliance