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.
This update includes tips for a stellar compliance program review, the download on the recent banking sector volatility, a reminder about Form BE-12 filing obligations, and more.
The SEC proposed to amend the order competition requirements of the National Market System, which would promote competition and protect individual investors.
SM&CR is being assessed by the FCA, PRA, and HM Treasury and invites stakeholder views on areas of potential change, specifically the effectiveness, scope, and proportionality of SM&CR and "other improvements" to SM&CR.
To receive prohibited compensation, investment advisers and broker-dealers must comply with DOL's PTE 2020-02, including impartial conduct standards, required disclosures, policies, and an annual review.
The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.
The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.
Welcome to the culmination of our seven-part series on Building a Gold Standard Compliance Program. In Session 7, we turn our attention to the ongoing challenge of updating and maintaining your compliance program to meet new and evolving business demands.