Insights
FCA Fines Broking Firm and Bans Former Directors Over Reporting Failures
A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.
- Compliance
- Trade & Transaction
- FCA
- ComplianceAlpha
- Trade Surveillance
ACA Group Selected as a RegTech100 Company for 2023
We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!
- ACA News
- RegTech
EXAMS Risk Alert Warns Advisers and Broker-Dealers to Beef Up Identify-Theft Practices
EXAMS issued its sixth Risk Alert to let advisers and broker-dealers know how firms are failing to meet their obligations under Regulation S-ID, the “Identity Theft Red Flag Rule."
- Compliance
- SEC
Recent Rackspace Exchange Outage is Another Reminder to Firms of the Importance of Business Continuity Planning
The ongoing, systemwide Microsoft Exchange outage demonstrates the importance of having contingency strategies in case of business disruptions.
- Cybersecurity
The Compliance Talent Supply and Demand Challenge
Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.
- Compliance
- Managed Services
- FCA
- SEC
- ComplianceAlpha
- RegTech
ACA Group Acquires Advanced Regulatory Compliance
Acquisition continues to reinforce ACA’s suite of leading GRC professionals and diversified services
- ACA News
White Paper: The Private Equity Managers Path to Compliance With the GIPS Standards
This white paper outlines the increased importance for private equity firms to claim GIPS compliance and takes firms through the various requirements.
- Performance
Foreign Withholding Tax Leakage and ETF Performance Implications
Understanding the complexities of foreign WHT, its implication for fund performance, and the relief available to U.S.-domiciled ETFs, is significant in remaining competitive amongst other funds.
- Distribution
SEC Strategic Plan: More Enforcement, More Rules, and More Technology
The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.
- Compliance
- SEC
- Cybersecurity
- ESG
- RegTech
Warning! Could a Political and Economic Omnishambles be Brewing for the Private Markets?
With an economic storm stemming largely from political ideology, we examine what impact this geopolitical and macroeconomic uncertainty has on the private markets.
- Compliance
- FCA
- SEC
- Managed Services