Compliance Program Development and Enhancement
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
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Latest insights

Proposed Regulation Best Execution Standard
The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.
- Compliance
- SEC

Enhanced Disclosures Proposed for Order Execution Information
The SEC's proposed updates would expand the scope of entities subject to Rule 605, modify the reporting information it requires, and change how its orders are categorized.
- Compliance
- SEC

Tip for Updating Your Compliance Program: Identity Theft Red Flag Rule
Regulation S-ID, the “Identity Theft Red Flag Rule,” requires financial institutions to implement and administer a written program designed to detect, prevent, and mitigate identity theft for customers with “covered accounts.”
- Compliance

Regulatory Update – March 2023 Edition
This month's update has tips for creating a strong ADV annual amendment, adhering to the SEC's 2023 exam priorities, and more. We share our unique insights and guidance, and include a list of important dates for the month of March.
- Compliance
- SEC

Feeling your Pain: Advice for Updating Form ADV
With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.
- SEC
- Compliance

Tip for Updating Your Compliance Program: Marketing Rule Compliance
The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.
- Compliance
News
ACA Awarded Most Innovative Trade Surveillance Solution
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
ACA Group Launches ACA Signature to Meet Client Demand for Outsourced Compliance Programs
New scalable solution is curated to suit financial firms’ unique compliance needs and challenges
ACA Reflects on Black History Month Celebrations
Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.