Welcome to the culmination of our seven-part series on Building a Gold Standard Compliance Program. In Session 7, we turn our attention to the ongoing challenge of updating and maintaining your compliance program to meet new and evolving business demands.
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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In additional to ongoing compliance manual maintenance support, our team can assist you with a range of topical compliance challenges, including:
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.
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.
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.
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).
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.
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.
If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.
Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).
- Private Fund
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
- Private Fund
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
- AML and Financial Crime
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.