Financial Crime Prevention - 25 November 2021
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.
Online Training
GRC Compliance Consulting Services
Strengthen your compliance program with our global team of compliance professionals.
Compliance teams need continuous support and knowledge sharing to stay on top of global regulatory initiatives. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
Packaged compliance solutions
The compliance consulting needs of your firm are unique. Our packaged solutions provide scalable options to receive the best of our consulting, technology, and managed services.
Comprehensive C3 Solution®
Our Comprehensive Customized Compliance (C3) Solution is a full-service package of compliance advisory solutions including: SEC examination support, annual compliance training, an annual subscription to ComplianceAlpha® to streamline your compliance processes, unlimited phone support, annual mock exam and compliance program review, on-call review of compliance documents, marketing and advertising material reviews, compliance manual updates, periodic electronic communication reviews, ongoing form ADV and Form PF reviews, annual PFRD administration, IARD administration, access to our extensive document library, and more.
Compliance Cornerstone™ + Solution
Our Compliance Cornerstone+ solution offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, and assistance with a customized annual compliance review. In addition, we assist clients in preparing and submitting their annual Form ADV filing.
Compliance Cornerstone™ Solution
Our Compliance Cornerstone solution offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, and assistance with a high-level off-site compliance review. In addition, we assist clients in preparing and submitting their annual Form ADV filing.
Comprehensive C3 Solution®
ACA’s Comprehensive Customised Compliance (C3) is our core level retailed
compliance assurance service for European based firms, providing comprehensive compliance advice and assurance. The offering features compliance framework establishment and maintenance, regulatory inspection, filings and prudential support, training, semi-annual on-site reviews and on-going support with unlimited telephone and email support as the backbone. Optional bolt on services are also available.
Compliance Retained Services: Foundation
Designed as ACA’s elementary level compliance assurance service, ACA Foundation focusses on the implementation of a comprehensive compliance framework, an annual compliance programme review, training and with a set level of telephone and email support. Optional bolt on services are also available.
Product Spotlight
ACA's Compliance Leaders Network
Keep pace with the evolving scope of the compliance function, solve key leadership and management challenges, and feel confident in your decisions. ACA’s Compliance Leaders Network (C-LEAD) is a membership-based group of compliance thought leaders, backed by ACA’s dedicated research and analytics team and staff of experienced consultants. Join our exclusive network of leading professionals.
Why work with us?
Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
Featured compliance insights
Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.
Navigating Evolving Risks on the Regulatory Horizon
Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.
Article
- Trade & Transaction
- Compliance
- ESG
- Managed Services
- Regulatory Deadlines
- Regulatory Technology
- ComplianceAlpha
- FCA
- SEC
- Cybersecurity
- RiskMutation
- Brexit
- COVID-19
- GIPS Standards
- Mirabella
White Paper: Does the Use of Alternative Data Require Alternative Compliance Measures?
This white paper will explore the many compliance concerns asset managers should keep in mind when obtaining and utilizing alternative data to ensure compliance with the SEC's compliance rule.
Report
- Compliance
Managing Compliance Concerns in the Wake of GameStop Corp. Stock Inflation
Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.
Compliance Alert
- Compliance
2021 Regulatory Reminders and Upcoming Deadlines for European firms
A summary of key tasks for compliance teams with a European presence, along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments and an outline of longer-term trends.
Article
- Compliance
- Brexit
- Cybersecurity
- Regulatory Technology
- Mirabella
- ESG
2021 Regulatory Filings Calendar
To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
Article
- Compliance
Our leadership team
Joshua Broaded
Partner, Co-Head Regulatory Compliance
Joshua Broaded, CFA, is a Partner and Co-Head of ACA’s Regulatory Compliance practice in the United States.
Carlo di Florio
Chief Services Officer
Carlo di Florio is the Global Chief Services Officer of ACA Group.
Adam Palmer
Partner, European Regulatory Compliance
Adam Palmer is a London based partner, and head of our European Regulatory Compliance practice.
Dan Smith
Partner, Co-Head Regulatory Compliance
Dan Smith, CFA, is a Partner and Co-Head of ACA's Regulatory Compliance practice in the United States.
News
ACA Group and Foreside to Join Forces
The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
Michael Borts joins ACA Group as the new Chief Technology Officer
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
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.
Upcoming events
Money Laundering Reporting Officer: The Role and Responsibilities - 30 November 2021
The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.
Online Training
Get Your Cyber House in Order
Our speakers will discuss how to tailor your spending and prioritize your budget to meet the needs of your firm and regulatory requirements.
Webcast