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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Do You Have Sufficient Resources? Ensure Compliance Coverage for the Holiday Season and Beyond

The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis.

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  • Compliance
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Brexit: The Impact on Your Marketing and Distribution Activities

With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions. With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.

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  • Compliance
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Planning Your 2019 Compliance Budget Part Two: Top 5 Budgeting Tips from ACA’s Former Regulators and CCOs

As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.

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  • Compliance
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Planning Your 2019 Compliance Budget Part One: Building the Foundation

As year-end nears, compliance teams are beginning to plan for 2019. To assist with the annual budgeting process, ACA has compiled the following information to help firms stretch limited resources and keep pace with the regulatory developments shaping next year’s compliance efforts.

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  • Compliance
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UK Budget 2018

The UK’s Chancellor of the Exchequer has delivered his 2018 Budget. This was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.

Article
  • Compliance
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MSRB Published Revised FAQs with Respect to New MSRB Rule G-40

On September 17, 2018, the Municipal Securities Rulemaking Board (“MSRB”) published a revised set of frequently asked questions (“FAQs”) regarding the application of MSRB Rule G-40 to advertising by municipal advisors.

Compliance Alert
  • Compliance

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.

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