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

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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
  • RegTech
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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
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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
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SEC Guidance on Investment Adviser Proxy Voting Responsibilities

On August 21, 2019, the U.S.

Compliance Alert
  • Compliance
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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
  • RegTech
  • ComplianceAlpha
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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
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Data Retention Challenges During an AML System Migration

Today, many financial institutions are changing the anti-money laundering (AML) technology platform they use to perform required compliance processes, such as transaction monitoring and sanctions screening. Once the process has started, there are important considerations around data migration that must be managed correctly.

Article
  • AML and Financial Crime
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Carlo di Florio joins ACA Compliance Group as Chief Services Officer

Carlo joins ACA from executive positions at FINRA and the SEC’s Office of Compliance Inspections and Examinations.

Press Release
  • ACA News
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Returning from summer holidays – A prudential year-end “to do” list

Leaving annual review prudential regulatory preparations until December creates a last-minute crush of work, and may result in key areas being overlooked. We discuss the importance of reviewing and refreshing prudential programmes in a timely manner

Article
  • Compliance
  • FCA
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Coming Soon: ComplianceAlpha 2.0 and Our New Employee Compliance Solution!

We’re putting the finishing touches on ComplianceAlpha 2.0, our next-generation compliance and risk management platform. We can’t wait to share what we’ve built to help your firm bring its compliance program to the next level.

ComplianceAlpha Update
  • RegTech