Insights
ACA Group Wins Best Solution for Managing Operational Risk - Europe by RegTech Insight 2022
ACA is honored ComplianceAlpha was voted Best Solution for Managing Operational Risk in the RegTech Insight Awards 2022 Europe.
- ComplianceAlpha
- RegTech
- ACA News
Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow
Financial services firms face a bumpy ride in 2022, as the tectonic plates of regulatory change shift again within a rapidly evolving operating environment. Download our complimentary whitepaper to identify your GRC gaps before the regulator does.
- Compliance
- ESG
- AML and Financial Crime
- ComplianceAlpha
- eComms Surveillance
- FCA
- Managed Services
- Mirabella
- Privacy
- Cybersecurity
Custody Rule SEC Exams and Enforcement Actions
We have seen an intensified focus on the Custody Rule for private markets fund managers, both from an examination and enforcement perspective.
- Compliance
SEC Begins Gathering Diversity and Inclusion Data from Financial Services Firms
The optional Diversity Assessment Report provides firms the opportunity to strengthen their diversity and inclusion programs
- ESG
- SEC
5 Things to Know About PRI Reporting and Assessment
Frequently asked questions that our ESG Advisory Practice receives on a constant basis. Here are 5 things to know about PRI Reporting and Assessment.
- ESG
ACA Celebrates Pride Month
ACA ALLiance, will host events and activities to recognize the contributions of LGBTQ+ individuals, educate employees about LGBTQ+ issues, and celebrate diversity.
- ACA News
ACA Group and Foreside Financial Complete Merger
The merger brings together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
- ACA News
SEC Proposes Amendments to Modernize the Investment Company “Names Rule”
On May 25th, the SEC released proposed rule amendments to the Investment Company Act “Names Rule” for investment companies and business development companies related to the naming of funds.
- ESG
What’s in a Name?
In May 2022, the SEC announced proposed amendments to Rule 35d-1, which requires that if a fund’s name suggests a focus in a particular type of investments, they must invest at least 80% of the value of its assets in those types of investments.
- Compliance
FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting
The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.
- Compliance
- RegTech
- FCA
- Trade & Transaction
- Trade Surveillance
- ComplianceAlpha