MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
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.
On 27 February 2020, the FCA wrote a 'Dear CEO' letter to all asset management firms setting its expectations for firms to prepare for the termination of LIBOR at the end of 2021. This letter is the latest in a barrage of co-ordinated messages from the UK authorities to chivvy the industry into action. We examine what this means for the buy-side community.
Recent years have been demanding on financial services compliance departments and the impact of recent regulatory developments will be felt this year. Our European CCO Checklist for 2020 tracks key compliance obligations for the year ahead
With the threat of the coronavirus disease 2019 (COVID-19), firms should revisit their business continuity and disaster recovery planning in response to a pandemic.
Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.
ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.
While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.
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 our team in NYC at the MFA Legal & Compliance Conference.
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.