Insights
Brexit: EMIR Reporting - Getting the Right Repository
June 29, 2021
Brexit is another in a long line of moving goalposts that requires firms to revisit their EMIR reporting arrangements. Are you confident your reports are being submitted correctly? Download our guidance to learn more.
- Compliance
- Brexit
- Trade & Transaction
- FCA
EEA Firms in the TPR: Have you Received your Landing Slot to Apply for Full Authorisation in the UK?
June 24, 2021
Firms that signed up to the Brexit Temporary Permissions Regime (TPR) will shortly be sent a ‘landing slot' from the FCA to apply for full authorisation in the UK. Learn more about the process, and why this is not as straightforward as it seems.
- Brexit
- FCA
- Compliance
SEC Request for Information About SolarWinds Compromise
June 24, 2021
The SEC is conducting outreach to firms who may have been a victim of the SolarWinds breach with a voluntary request to produce information.
- Cybersecurity
Fill the Gaps this Summer with Additional Compliance Support
June 21, 2021
After the challenges of the past year, many people are looking forward to a return to normalcy and preparing to return to the office. Across the industry, many firms are dealing with an increase in staff turnover as we turn the corner post-pandemic. Other firms, including ACA, are gearing up for summer breaks to recharge. But in the compliance industry, taking a break from work isn’t as simple as turning on your “out of office” message and walking out the door.
- Compliance
- Managed Services
AML Update for Investment Advisers
June 18, 2021
The 2015 FinCEN Proposal and several other financial crime risks make AML relevant for investment advisers and all other participants in the securities and financial industry. This update summarizes key developments in the AML space during the first half of 2021 and how they may impact your firm.
- AML and Financial Crime
- Compliance
Juneteenth – A Time to Reflect
June 18, 2021
Juneteenth, Freedom Day, Jubilee Day, Liberation Day, Emancipation Day – These are all names for the day we recognize that a group of enslaved people in Galveston, Texas finally learned that they were free from the institution of slavery - June 19, 1865. What makes this day so significant is that this was two and a half years after the Emancipation Proclamation by President Lincoln, a constant reminder that significant change can unfortunately take time.
- ACA News
New Research Shows That 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR
June 17, 2021
Recent research and analysis shows 97% of reports under MIFIR/EMIR contain inaccuracies, on average each report has 30 separate error types. But worryingly, despite this, 87% of firms are confident in the quality of their reports. On the anniversary of EMIR REFIT, data quality is still poor
- Compliance
- Trade & Transaction
- Managed Services
- ACA News
White Paper: Compliance Considerations for SPAC Sponsors
June 17, 2021
In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.
- Compliance
ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators
June 16, 2021
To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.
- Compliance
ACA Group joins United Nations-supported Principles for Responsible Investment
June 15, 2021
Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).
- ESG
- Compliance
- ACA News