Insights
FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
- FCA
- Compliance
FINRA’s Amendments to Continuing Education Take Effect January 1st
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
- Compliance
ACA’s Daryn Levesque Recognized as Nicsa NOVA Emerging Leader Award Recipient
Senior Principal Consultant from ACA Foreside’s ETP Distribution Operations team recognized for outstanding contribution to the development of the global asset management industry.
- ACA News
SEC Proposes New Outsourcing Regulation for Advisers
The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.
- Compliance
ACA Regulatory Update - November Edition
This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.
- SEC
- Compliance
ACA Releases Enhanced Global Managed Services Solution Amidst Economic Maelstroms
ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.
- Compliance
- Managed Services
- FCA
- SEC
- ACA News
Surviving the Macro-Economic Superstorm
Macroeconomic trends are coming together to create a “superstorm” making it difficult for the financial industry to find and retain talent, creating compliance risks for firms. What are the practical solutions to address these challenges?
- Managed Services
- Compliance
- ComplianceAlpha
- FCA
- SEC
Private Markets Quarterly Update: Q3 2022
Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.
- Compliance
- SEC
ACA Foreside Wins at 2022 ETF Express U.S. Services Awards
We are honored to win Best ETF Distributor, Best ETF Compliance Team for Mutual Fund to ETF conversions, and Best ETF Regulatory/Compliance Adviser at the ETF Express US Services Awards.
- ACA News
Hedge Fund Quarterly Update Q3 2022
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
- SEC
- Compliance