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, our filing compliance solution services have 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.
With new challenges and risks crypto poses to investors, the U.S. Securities and Exchange Commission endeavors to dedicate more resources to protect market participants from securities law violations related to crypto.
We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
Enhanced FCA climate-related disclosures come into play for many asset managers from 1 January 2023. Compliance is closely aligned to the Taskforce on Climate-Related Financial Disclosures (“TCFD”). Download our guidance sheet to start planning for the upcoming changes.
FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in fines during 2020.
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.
This unique webinar, which will share the results and key findings from over 200 compliance leaders that participated in the ACA and NSCP’s 2024 AI Benchmarking Survey.