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.
Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.
New amendments adopted by the NFA will require individuals who are both a principal and an associated person to review, sign, and submit the Member Questionnaire.
FINRA’s amendments to Rule 4210 requires members to collect margin for each counterparty's excess mark or market loss related to covered agency transactions.
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.
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.