The UK Investment Firm Prudential Regime – Implementation and challenges of new rules
Join ACA and AIMA for a discussion of the upcoming UK Investment Firm Prudential Regime
Webcast
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.
Latest insights
FinCEN Issues AML Priorities
FinCEN published its first government-wide priorities for AML on June 30, 2021. The priorities are intended to assist financial institutions in their efforts to meet obligations under regulations designed to combat money laundering and counter terrorist financing.
AML Update for Investment Advisers
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 in the News Results in Plans for Modernizing AML Regulations
Recent news articles revealed the leak of 2,100 suspicious activity reports (SARs) filed by financial institutions that described multiple instances of investment fraud and money laundering in the U.S., Europe and across the world.
News
ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering
The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.
ACA Group and the Investment Adviser Association Announce Strategic Partnership
ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.
ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels
ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.
Upcoming events
Compliance is Easier Than You Think: Claiming Compliance with 2020 GIPS® Standards for Alternative Investment Managers
ACA recently released a white paper series that covers those details managers need to know to claim compliance with the 2020 Global Investment Performance Standards. Join ACA for a webcast discussion to review how to claim compliance.
Webcast
Senior Management Obligations under the SM&CR - 30 September 2021
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).
Online Training