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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FBI Warns of Criminals Impersonating Advisers and Brokers

June 15, 2021

The FBI has warned of recent criminal activity in which threat actors impersonate investment advisers and brokers online.

Cyber Alert
  • Cybersecurity
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FINRA Warns of Additional Fake Emails

June 10, 2021

The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported additional phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of "gateway-finra[dot]org" is being used.

Cyber Alert
  • Cybersecurity
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The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation

June 10, 2021

With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline

Article
  • Compliance
  • FCA
  • Regulatory Deadlines
Pride

Celebrating Pride Month and Diversity at ACA

June 09, 2021

ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.

News
  • ACA News
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SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations

June 08, 2021

On June 3, 2021, the U.S. Securities and Exchange Commission (SEC) instituted a cease-and-desist order against a previously registered investment adviser for alleged violations.

Compliance Alert
  • Performance
  • SEC Advertising Rule
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Q&A: Supporting the Evolution of the Industry

June 07, 2021

Following ACA Mirabella’s sixth successive win of the ‘Best Regulatory Hosting’ title at the HFM European Services Awards, Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM about the role that regulatory hosting platforms have played throughout the Covid-19 pandemic, the Brexit effect, the impact of remote working, and what lies ahead for financial services firms.

Article
  • Mirabella
  • Compliance
  • Brexit

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