Insights
Finalization of California Privacy Rights Act (CPRA) Is Pushed Back
The CPRA release will be pushed to April 2023, leaving existing rules in effect until then.
- Cybersecurity
Global Privacy Year-End Brief: What’s Happening Now & What to Expect in 2023
We summarize our recent Global Privacy webcast, which featured ACA Aponix's Alex Scheinman, Tyler Pearson, and independent privacy consultant Bill Schaumann.
- Cybersecurity
U.S. Regulatory Update – December 2022 Edition
This issue covers the SEC Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and compliance concerns for real estate fund managers when interest rates rise.
- Compliance
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
Case Study: Helping a Leading Hedge Fund Address Transaction Reporting Errors
How ACA’s Regulatory Reporting Monitoring & Assurance (ARRMA) helped one of Europe’s leading alternative asset management firms fund identify, resolve, remediate, and prevent future MiFIR transaction reporting errors.
- Trade & Transaction
- Compliance
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