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Delivering on SM&CR – Do firms need to move faster?

Poll findings reveal that less than 2% of firms ready for the Senior Managers & Certification Regime, which comes into force in less than 100 days. It's clear that solo-regulated firms must accelerate the pace at which they are preparing for regulation ahead of 9 December implementation but is the work required ahead of the deadline being underestimated?

  • Compliance

SEC Charges Investment Adviser in Connection with $105 Million Securities Fraud

On Tuesday, August 27, 2019, the U.S. Securities and Exchange Commission ("SEC") announced it had brought charges against an investment adviser in connection with a $105 million securities fraud in Pennsylvania.

Compliance Alert
  • Performance

FlexTrade Partners with ACA Technology to Provide Data On-Demand for Trade Surveillance

ACA and FlexTrade have partnered to help their mutual clients manage their trade surveillance and compliance needs using ACA's trade surveillance technology and FlexNow.

Press Release
  • Regulatory Technology
  • Trade Surveillance

FATF-Identified Jurisdictions with AML/CFT Deficiencies

The Financial Crimes Enforcement Network issued an advisory to remind financial institutions that updates the FATF made to their list of jurisdictions that have strategic AML/CFT deficiencies may affect their obligations with respect to these jurisdictions and that they should consider the impact these updates have on the institution’s risk-based approach.

Compliance Alert
  • AML and Financial Crime

SEC Investigating Data Leak at First American

Real estate title insurance giant First American Financial Corp. is being investigated by the SEC for a data leak that exposed over 885 million personal records from as far back as 2003.

Compliance Alert
  • Cybersecurity

Top Lessons Learned from Conducting a 2020 GIPS Compliance Verification

Following the release of the 2020 GIPS Standards by CFA Institute on June 28, 2019, firms are encouraged to early adopt the new provisions. One such firm did early adopt, and ACA Performance Services is excited to announce we recently issued our first verification report under the 2020 GIPS Standards.

  • Performance

When it Comes to Compliance, is Ignorance Bliss or a Potential Liability?

With a raft of regulatory changes coming into force over the last few years, financial firms have incurred many system, process, policy and procedure changes. Overseeing and managing all of the moving pieces presents a challenge for compliance teams. How can Senior Management and Compliance Officers be confident that their governance, risk, and compliance framework is current, sufficiently comprehensive and ultimately effective to avoid regulatory scrutiny?

  • Compliance

FCA Raises Further Concerns on Access to Inside Information

Following the conviction of a former compliance officer of a major investment bank, the FCA raises concerns on the control of access to inside information. We examine the regulator's findings and recommendations, and what this means for financial services firms.

Compliance Alert
  • Compliance

Less than 2% of firms are fully prepared for SM&CR

A survey conducted on preparation for the FCA’s Senior Managers and Certification Regime, (SM&CR) has revealed that most firms have significant work to do, as they prepare for its extension to all authorised firms on 9 December 2019.

Compliance Alert
  • Compliance

Deadline Approaching for Treasury International Capital (TIC) Form SHL (TIC SHL)

The U.S. Treasury and the Federal Reserve Bank of New York will collect data regarding non-U.S. residents’ holdings of securities of U.S. issuers via Form TIC SHL. This mandatory collection is conducted every five years. The filing deadline is August 30, 2019, and data must be reported as of June 30, 2019.

Compliance Alert
  • Compliance