Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
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 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 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 testing 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.
We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS in preparation for the June 30, 2020 compliance deadline.
In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.
The FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms.
The NFA provided relief to CTAs that are also registered with the SEC to present past performance to ECPs on a gross basis in non-public, one-on-one presentations. The CFTC also proposed changes to the Form CPO-PQR revising the scope of information collected.
Due to the ongoing COVID-19 pandemic, the National Futures Association has suspended its applicant fingerprinting service for its registrants and their principals and associated persons. The social distancing requirements have made it difficult to comply with the requirements set forth in CFTC Regulation 3.10 and 3.12.
In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must be flexible to adapt to fresh challenges while maintaining business disciplines, systems and controls. This complimentary training webcast is designed to help ensure that staff, regardless of their role, do not forget their core compliance responsibilities during this period.
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.