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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FINRA Alert Regarding Form BR for Residential Supervisory Locations
FINRA issued an alert to member firms advising them not to close or withdraw Form BRs for Residential Supervisory Locations
- Compliance
- FINRA
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Q3 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from July through September 2024.
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA
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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.
- Compliance
- FCA
- Mirabella
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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.
- Compliance
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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.
- Compliance
- 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.
- Compliance
- FCA
- Trade Surveillance
- RegTech
- ComplianceAlpha
News
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025
ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025
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.