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

SEC to Investment Advisers: Cybersecurity Must Be a Comprehensive, Continually Evolving Program

July 15, 2021

This was the topic of discussion between the SEC’s Keith Cassidy, Head of the SEC’s Technology and Controls Program, and ACA Aponix® partner Mike Pappacena, during ACA’s spring conference. They discussed why the threat of a cyber-attack is so acute for investment advisers, how they can best protect themselves and their clients, and what the SEC expects from investment advisers’ cyber programs. Here are some highlights from their conversation.

Cyber Alert
  • Cybersecurity

ACA Group Hires New Chief Commercial Officer Aimee Egan

July 14, 2021

ACA Group (ACA) today announced that Aimee Egan has joined the firm to lead all go-to-market functions (including Sales & Marketing) in a newly created role of Chief Commercial Officer. Aimee will join ACA’s executive leadership team and will oversee the execution of ACA’s growth plan.

Press Release
  • ACA News
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Active Supply-Chain Ransomware Attack Against Kaseya VSA

July 02, 2021

Kaseya has warned of an active attack against a number of its customers using Kaseya’s VSA remote monitoring and management (RMM) platform. The attackers are using the platform to deliver REvil ransomware to systems, demanding $44,999 in funds to reclaim access to data.

Cyber Alert
  • Cybersecurity

FinCEN Issues AML Priorities

July 02, 2021

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.

Compliance Alert
  • AML and Financial Crime
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Majority of Firms in Breach of Transaction Reporting Requirements

July 01, 2021

Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.

Press Release
  • Compliance
  • Trade & Transaction
  • ACA News
  • FCA
ACA Threat Intelligence Alert Blog Image

PrintNightmare: Windows Zero-Day Vulnerability Detected

July 01, 2021

A Windows vulnerability was detected that can enable bad actors to potentially take control of an affected system. Find out how to protect your systems.

Cyber Alert
  • Cybersecurity

News

96% of Firms Unprepared for the FCA’s New Prudential Regime

With less than six months to go until UK investment firms are subjected to a completely new prudential regime, a recent survey reveals that the industry is vastly underprepared. The data shows that just 4% of respondents are ready and capitalised for the FCA’s new Investment Firm Prudential Regime (IFPR) coming into effect in January 2022. Learn more about what this means for firms.

Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider

Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.

ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards

Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.

Upcoming events

Senior Management Obligations under the SM&CR - 11 August 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

Compliance Induction - 17 August 2021

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training