AML and Financial Crimes

Address financial crimes-related threats and regulatory concerns with our team of former regulators and auditors.

Our AML and Financial Crimes practice offers advisory services and solutions to assist financial services firms in addressing financial crimes-related threats and regulatory concerns. Specific areas include AML, Foreign Corrupt Practices Act (FCPA) and Anti-Bribery, and cybersecurity services.

Our solutions

Consulting
  • AML program independent testing and risk management
  • Development of AML and KYC/CDD policies and procedures 
  • FCPA and anti-bribery risk management, and development of policies and procedures 
  • Cybersecurity
Managed Services
  • KYC/CIP full-Service solution
  • KYC/CDD assistance
  • Securities trading suspicious activity surveillance
  • Electronic communication surveillance for bribery, insider trading, and other financial crimes
Technology + Managed Services

Our AML KYC/CIP technology + managed services solution combines our ComplianceAlpha® regulatory technology platform with our on-demand managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

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Latest insights

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GIPS Compliance & Verification FAQ

There are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards. In the following, we describe a few of the most common questions that firms often ask as they consider taking on this initiative.

Article
  • Performance
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Microsoft® Patches Critical Vulnerabilities; Zoom Vulnerability Discovered

Learn about the new software patches Microsoft released on April 14, 2021 to address 19 critical vulnerabilities as well as a new Zoom vulnerability discovered at the Pwn2Own white hat hacker event.

Cyber Alert
  • Cybersecurity
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SEC Keeps ESG Momentum with Release of Risk Alert

On Friday, April 8, 2021, the SEC’s Division of Examinations issued a Risk Alert for ESG Investing, putting an exclamation point on ESG being a top priority for the Commission.

Compliance Alert
  • ESG
  • Compliance
  • SEC
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The Microsoft® Exchange® Server Breach: What’s Next and What To Do

​​​​​​​When Microsoft announced patches for the four “zero-days” that were revealed on March 2, 2021, the full extent of the vulnerability was not known. Security experts continue to notify victims, coordinate remediation, and suggest remaining vigilant for “stage 2” of this attack, i.e., further exploitation of the backdoors left on the already-compromised servers.

Article
  • Cybersecurity

ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs

ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.

News
  • ComplianceAlpha
  • Regulatory Technology

ComplianceAlpha® 2021Q2 Introduces New Features for Marketing Reviews, Legal Documents, eLearning, and More

ComplianceAlpha 2021Q2 includes new features and technology such as natural language processing (NLP) for marketing reviews and legal document tracking (side letters and NDAs), a new integrated eLearning solution, and more.

ComplianceAlpha Update
  • Regulatory Technology
  • ComplianceAlpha

News

ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs

ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.

Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform

Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.

We Are Now ACA Group

This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.

Upcoming events

ComplianceAlpha® Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.

Webcast