The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.
With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.
Our team includes 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.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from October through December 2024.
The CFTC approved some of the proposed amendments to CFTC Regulation 4.7.
FINRA has established streamlined reporting requirements for RSLs through Form U4.
The DOL was stalled in its most recent attempt to re-define an investment advice fiduciary under ERISA.
Helping asset managers select and work with an intermediary.
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
ACA Expands Communication Channel Capture to Strengthen Compliance Oversight
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
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.
Join us for insights from our experts on best practices and trends in outsourcing investment performance complexities amid evolving regulatory and operational challenges.
Join us on 10 October 2024 at 11:00 (ET) for an insightful webcast where we will discuss who this directive applies to, the challenges posed by DORA and what you can do now to meet the compliance date.