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

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

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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
  • RegTech
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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
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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
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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
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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
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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
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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
  • RegTech
  • ComplianceAlpha
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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
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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