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).
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.
- 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
- KYC/CIP full-Service solution
- KYC/CDD assistance
- Securities trading suspicious activity surveillance
- Electronic communication surveillance for bribery, insider trading, and other financial crimes
June 03, 2021
Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.
June 01, 2021
Organizations that claim compliance with the Global Investment Performance Standards (GIPS®) are required to notify CFA Institute of their claim of compliance by June 30, 2021.
June 01, 2021
ACA’s celebration of Pride Month is a part of its commitment to fostering diversity and inclusion in its workplace. Our LGBTQ+ and ally Employee Resource Group ACA ALLiance is hosting many activities during the month of June to help provide education and resources to employees. To kick off our celebration, we asked employees from across the firm, "What does Pride mean to you?" and have included their responses in this post.
- ACA News
May 27, 2021
Martin Fawzy joins ACA’s dedicated team, offering SEC regulatory consulting for firms located outside of the U.S.
- ACA News
May 26, 2021
Find out what financial firms have identified as three of the knottiest issues facing compliance teams this year, the top five compliance areas that could benefit from better technology, and the biggest hurdles to compliance technology adoption in our latest peer analysis infographic.
- Regulatory Technology
- Managed Services
May 25, 2021
At ACA, we recognize that the past year has been extremely challenging and trying for our employees. We also understand that our employees have whole lives, and that work is just one component of those lives. To this end, we are doing something we have never done before. We are providing employees with one week of paid time off to Rest, Recharge, and Renew.
- ACA News
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.
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”.
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.