Whether you’re looking to fulfill your annual SEC compliance program review as mandated by Rule 206(4)-7 of the Investment Advisers Act of 1940, your FINRA required annual review, need to conduct a compliance gap analysis to determine if your firm is acting within the remit of its FCA Part 4A license permission, or want some assistance with thematic compliance program reviews or consistent regulatory consulting throughout the year, we can help.
Conducting periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement.
Regulatory gaps, failings or weaknesses can result in fines, reputational damage, and even criminal sanctions.
Gain the peace of mind that comes from working with the most trusted and experienced GRC advisor in the financial services industry. With former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions, we offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
Investment advisers often have robust compliance assessment programs in place to ensure their staff and control environment remain a well-oiled machine. Most of the time, such testing programs are front of mind and on top of the daily, weekly, or monthly to-do list.
Yet over the past year – as compliance professionals have been forced to work from home during a global pandemic that comes with additional family obligations, enhanced day-to-day surveillance of staff, and adapting to changing expectations - testing has fallen to the bottom of the priority list. Unfortunately, the obligation to forensically test and/or stress test your compliance program remains.
Download our Compliance Testing Action Plan to help you and your firm get started.
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Institutional investment managers with significant short positions must adopt new monthly reporting practices to meet SEC requirements.
In today's complex financial landscape, SEC-regulated firms face increased scrutiny around the monitoring and reporting of employees' personal trading activities.
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Join us on Monday, December 16, 2024, at 11am ET when we will share practical insights into preparing for residential office classifications and planning remote and onsite inspections in 2025.
Join us for a live webcast where we’ll explore the significant advantages of conducting a mock SEC exam.
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.