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 ACA compliance cycle management 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. Our ACA compliance cycle management services 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 for compliance enhancement.

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

Our ACA compliance cycle management experts 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 for compliance enhancement.

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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Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors

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U.S. Regulatory Update – February 2024

This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.

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The FCA Proposes a New Approach to Publicise Investigations

The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.

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FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation

FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.

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8 Steps CCOs Should Take Now to Prepare for AI Regulation

Without question, one of the hottest topics for firms over the past year has been the emergence and rapid adoption of Artificial Intelligence (AI)-based tools and technologies in the workplace. However, AI use is not without risk Read our recent blog outlining details of the regulatory response to AI use in financial services firms and get our 8 steps to better manage AI Risk.

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ACA Expands Communication Channel Capture to Strengthen Compliance Oversight

ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month

ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month. Reflecting on a decade of cybersecurity leadership, technological advancement, and industry recognition for financial services

Honoring the Legacy of Michael Lehman

ACA remembers and honors the life of Michael Lehman, the co-founder of Decryptex, now known as our Market Abuse Surveillance solution, a cornerstone of ACA’s ComplianceAlpha® platform today.

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