Insights
SEC No-Action Letter: ATS Role in the Settlement of Digital Asset Security
The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.
- Compliance
Increase Employee Compliance with ACA's Political Contributions Monitoring in ComplianceAlpha
This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.
- RegTech
- RiskMutation
OCC Announces Civil Money Penalty for Vendor Management Control Deficiencies
The Office of the Comptroller of the Currency recently assessed a $60 million civil money penalty for a bank's failure to exercise proper oversight of the 2016 decommissioning of two U.S. wealth management business data centers.
- Bank Asset Management
MAR Review: ESMA Publishes Report on Reforms to Market Abuse Regime
The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.
- Compliance
Next Generation Compliance: Unified Data and Integrated Dashboards
Risk and compliance officers today are faced with an unprecedented level of complexity and change.
- RegTech
- RiskMutation
ACA Compliance Group Launches Enhanced AML KYC/CIP Solution
A full-service solution that combines ACA’s regulatory technology (RegTech) with ACA’s managed services to help global financial services firms manage their AML risk and identify potential financial crime effectively and efficiently. This new offering is powered by ComplyAdvantage’s industry-leading artificial intelligence (AI)-driven financial crime risk data and detection technology in ACA’s ComplianceAlpha® risk and compliance management platform
- ACA News
ACA's Enhanced AML KYC/CIP Solution is Here
The solution combines ACA’s regulatory technology (RegTech) and managed services to provide our clients with a full-service, cost-effective offering for meeting their requirements under various KYC and CIP regulations in the U.S., Europe, and Cayman Islands.
- RegTech
CFTC Approves Final Rule Amending Form CPO-PQR
On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi
- Compliance
Stay Ahead of Threats with Cyber Alerts
Cyber threats are constantly evolving and hackers are always looking for new methods to attack - stay on top of new threats and address them as quickly as possible by subscribing to our free cyber alerts.
- Cybersecurity
ACA Compliance Group Named Best Regulatory & Compliance Firm by Private Equity Wire
ACA's consultancy practice voted best regulatory and compliance firm, recognising excellence by GP managers and service providers in the U.S.
- ACA News