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At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

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AML in the News Results in Plans for Modernizing AML Regulations

Recent news articles revealed the leak of 2,100 suspicious activity reports (SARs) filed by financial institutions that described multiple instances of investment fraud and money laundering in the U.S., Europe, and across the world.

Compliance Alert
  • AML and Financial Crime
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October is Cybersecurity Awareness Month!

Kick off Cybersecurity Awareness month by joining us for two days dedicated to the cybersecurity challenges and issues faced by financial services firms. ACA's first-ever Cyber Week on October 6-7 is free to attend.

Article
  • Cybersecurity
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UPDATE: FCA Announces Last-Minute Extension of MiFID 10% Depreciation Reporting in the UK

The FCA have issued a last-minute statement declaring a further six-month extension and subsequent amendments to the Covid-19 measure brought into effect in March 2020. As a result, the MiFID 10% Depreciation Regime has now been extended to 30 March 2021.

Compliance Alert
  • Compliance
  • FCA
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MiFID 10% Depreciation Rule: The End of the FCA’s Flexible Approach is Nigh

The FCA has announced a last-minute extension of MiFID 10% Depreciation Reporting in the UK. The Covid-19 measure is now in force until 30 March 2020.

Compliance Alert
  • Compliance
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SEC Announces Settlement with Broker-Dealer for Failure to Retain Text Messages

The SEC found that the broker-dealer's failure to retain the text messages was in direct violation of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-4(b)(4) thereunder, which requires firms to preserve original copies of certain business-related communications sent or received for three years.

Compliance Alert
  • Compliance
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The Future of Risk and Compliance in the Age of RiskMutation™

Find out what RiskMutation™ is and why it's accelerating the modernization of risk and compliance management.

Article
  • Compliance
  • RiskMutation
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Case Study: Portfolio Risk Management for Telecom

Read how ACA Aponix delivered a comprehensive risk management solution to address both public and private networks for large telecom.

Case Study
  • Cybersecurity
  • Portfolio Company Risk Management
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FCA confirms re-opening of the Temporary Permissions Regime – Brexit planning for European Asset Managers

The FCA recently confirmed the re-opening of the Temporary Permissions Regime (TPR). This provides a short-term Brexit opportunity for EEA based Asset Managers to operate within the UK post 31 December 2020. Our TPR Q&A examines what this means for firms.

Compliance Alert
  • Compliance
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New Guidance for Fitness and Propriety Assessments and Conduct Rules Training under the FCA’s SM&CR

The FCA recently provided new SM&CR guidance for solo-regulated firms on Fitness and Propriety (”F&P”) assessments and Conduct Rules training. Here we summarise these updates and provide guidance on how to meet the regulators expectations.

Compliance Alert
  • Compliance
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SEC OCIE Warns of Increased Risk of Credential Stuffing

The SEC OCIE has issued an alert warning of an increase in the use of the “credential stuffing” tactic in attacks against SEC registrants, including broker-dealers, investment advisers, and investment companies. Credential stuffing can significantly increase financial, regulatory, legal, and reputational risk to firms and OCIE has made recommendations for protecting client accounts.

Cyber Alert
  • Cybersecurity
  • Phishing