Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
These are unusual times. The coronavirus (COVID-19) pandemic has demanded new ways of human interaction, both in the business and personal worlds. This includes firms around the world directing a large number of employees to work from home.
Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).
In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.
A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.
In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.
On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.