Compliance Program Development and Enhancement

Navigate the changing risk and compliance landscape

As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.

Our solutions

In additional to ongoing compliance manual maintenance support, our team can assist you with a range of topical compliance challenges, including:

AIFMD Consulting & Support

Drafting of your documentation, policies, procedures and controls for AIFMD impacted EEA-based investment managers of alternative investment funds, and also non-EEA advisers who wish to market such funds into the EEA.

Stay on top of financial crimes-related threats and regulatory concerns with AML consulting support. We can support with independent testing and risk management, as well as, development of AML, KYC/CDD, FCPA and anti-bribery, and cybersecurity policies and procedures.

Updating of policies, procedures and compliance manuals for firms with a UK-based presence, reflecting new rules and regulations following the exit of the UK from the European Union.

Policy and procedure development and program management including carbon footprinting, climate risk scenario analysis, net-zero management, DEI baselining and training, portfolio performance assessment, reporting (UN PRI, TCFD, SFDR), and marketing and disclosures reviews.

FCA Marketing Abuse Regulation (MAR) Solutions

Focused and cost-effective assessment of your firm’s policies, procedures, monitoring program, surveillance techniques, and controls environment. We can also provide a deep-dive review, benchmarking, and testing of your firm’s market abuse arrangements.

LIBOR

Assistance in devising your LIBOR transition plans, assessing and reviewing your firm’s reliance and usage of LIBOR, or performing a gap analysis review of your transition work to date.

Our investment company team will help you to navigate the SEC’s liquidity risk management program rule through educational resources and alerts, benchmarking insight, help with program management and development of policies and procedures, annual assessments.

MiFID II Consulting & Support

Our post-implementation review is designed to review, test and benchmark your MiFID II program to identify gaps and reduce your regulatory risk.

Our prudential team are on-hand to help provide regulatory oversight of your firm’s capital monitoring and forecasting, and regulatory reporting processes. This includes support with the upcoming Investment Firms Prudential Regime (IFPR).

Regulation Best Interest (Reg BI) and Form CRS

We can help broker-dealers understand the compliance and operational issues presented by Reg BI as they relate to their retail business. Our consultants can assist in designing customized procedures that will detail the steps needed to address Reg BI’s requirements as they relate to your firm.

SM&CR Compliance Solutions

Post-implementation reviews of your documentation, framework and internal process, gap analysis, as well as senior manager and conduct rule training.

Policy and procedure development and thematic project support to help make sure your trade and transaction reporting is in line with MiFID/MIFIR and EMIR regulatory requirements.

1 of

Latest insights

highway at night from overhead

SEC Unauthorized Electronic Communications Sweep Key Takeaways

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.

Article
  • Compliance
  • SEC
  • RegTech
  • ComplianceAlpha
Light through blocks

Emerging Threats in the Cyber Landscape

Financial firms have good reason to be worried about cyber risk. Attacks are on the rise, average costs of a breach are increasing, and regulators are responding by launching new measures for greater oversight. What are the emerging threats, and how should firms respond to this ever evolving landscape.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
geometric background

Common Deficiencies in Private Fund Manager Exams: What you need to know

The observations the SEC shared earlier this year about common deficiencies uncovered during exams hold important lessons not only for registered private funds, but for other types of funds subject to SEC oversight as well. We outline the key takeaways.

Article
  • SEC
  • Compliance
abstract image with a lock and shield

Budget Benchmarking Survey Series: Compare Your Cyber and Compliance Program Resources to Your Peers

Participate in our budget and staffing surveys to learn how your peers are allocating their program’s resources and prepare for the 2023 budgeting season.

Survey
  • Compliance
  • Cybersecurity
Architectural image - office windows

Transaction Reporting: Man vs. Machine

With 97% of firms getting their transaction reporting wrong, it's clear they cannot rely solely on technology to create and submit complete and accurate reports under MiFIR, EMIR or SFTR. Can firms simply leave it up to the machines to detect errors? Or is human intervention key to ensuring the reporting is being done correctly?

Article
  • Trade & Transaction
  • Compliance
New York City from above at twilight

New SEC Marketing Rule Master Class Podcast Released

We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.

News
  • Compliance
  • Performance
  • SEC Marketing Rule

News

New SEC Marketing Rule Master Class Podcast Released

We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.

ACA Group Selected as an AIFinTech100 Company for 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

2022 Investment Management Compliance Testing Survey Results Released

For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.

Upcoming events