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FCA Announces 15-Month Transition Period for its Post-Brexit Handbook

The FCA recently provided updates about the impact of on-shoring EU legislation at the end of the Brexit transition period. We examine what this, the Temporary Transition Power, and changes to the FCA's handbook mean for firms.

Article
  • Compliance
  • FCA
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OCC Fines Bank $85M for Compliance and IT Risk Failures

On October 14, the Office of the Comptroller of the Currency (OCC) issued a news release indi

Compliance Alert
  • Bank Asset Management
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The Value of GIPS Compliance: 2020 OCIO Survey Results

ACA and Curcio Webb conducted an industry survey in August 2020 focusing on the value of GIPS compliance among OCIOs. The results show a growing interest in compliance with the 2020 GIPS standards.

Survey
  • Performance
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FCA Sets Sights on Private Markets and Portfolio Companies

The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.

Compliance Alert
  • Compliance
  • FCA
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Fireside Chat with Phil Venables and Mike Pappacena

We were delighted to host Phil Venables, Board Director and Senior Advisor (Risk and Cybersecurity) for Goldman Sachs at our first-ever Cyber Week. This fireside chat with Mike Pappacena, Partner, ACA Aponix is now available to watch on-demand.

Article
  • Cybersecurity
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OCC Supervision Priorities and Objectives for 2021

The OCC's Committee on Bank Supervision recently released the agency’s supervision priorities and objectives for fiscal year 2021. We summarized what trust companies' and bank asset managers' should ensure are adequately covered by risk, compliance, and internal audit.

Compliance Alert
  • Bank Asset Management
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Q4 2020 Regulatory Reporting Deadlines

Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020.

Compliance Alert
  • Compliance
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RegTech Quarterly Update: Q3 2020

Quarterly recap of regulatory news and ACA insights related to RegTech from this past quarter, as well as what's new and coming soon to ComplianceAlpha.

ComplianceAlpha Update
  • RegTech
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ACA celebrates 10 years in Europe

Ten years ago, ACA Compliance Group opened in the UK to expand our global presence and better serve our clients doing business in Europe. Learn more about the services and solutions we now bring to clients around the world from our European team.

Article
  • ACA News
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Compliance Testing Action Plan (Downloadable Guide)

We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.

Article
  • Compliance