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.

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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.

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Latest insights

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Exploring Pathways to Market into Europe

When establishing or expanding a business in the UK and/or across the EU, there are various paths you can take. We outline key points to consider before you embark on your new business journey.

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The Department of Labor’s Amended ERISA QPAM Exemption Goes Live June 17, 2024

The QPAM exemption suspends certain ERISA rules against conflicts of interest and self-dealing for advisers managing or advising assets of retirement plans or individual retirement accounts.

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The ACA/NSCP AI Benchmarking Survey is Now Open

We partnered with NSCP to launch this inaugural survey to help you better understand how your peers are managing the risks and opportunities of AI.

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  • Cybersecurity
  • Artificial Intelligence (AI)
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The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance 

In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance. 

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The Fifth Circuit Court of Appeals Rules to Vacate the SEC's Private Fund Adviser Rules

Although the court ruled to vacated the SEC's Private Fund Adviser Rules, we do not see this as a moment to "put pencils down,” but rather to monitor closely and continue with compliance readiness under potential appeal outcomes.

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The Overseas Funds Regime

Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.

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News

Apex Group and ACA Form Strategic Partnership to Enhance Client Experience

Apex Group and ACA form strategic partnership to enhance client experience. The alliance enables clients to seamlessly identify a reputable service provider that will help support and protect their business.

ACA's Commitment to Client Success Deepens with the Appointment of New COO

ACA Group is delighted to announce the appointment of Jean-Christophe Chandumont (JC) as Chief Operating Officer.

ACA and ACA ALLiance Celebrate Pride and Progress

This Pride Month, we are excited to celebrate with our employee resource group, ACA ALLiance, to honor the contributions and experiences of the LGBTQIA+ community within ACA and beyond.

Upcoming events