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.
Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.
On January 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) published Frequently Asked Questions on Regulation Best Interest. Regulation Best Interest (“Reg BI”) establishes a standard of conduct for broker-dealers and investment advisers and their associated persons. Its compliance date is June 30, 2020.
Changes to the Securities Financing Transaction Regulation (SFTR) come into force for many financial services firms from 11 April. We examine what firms need to do to determine their reporting requirements and why they should do this now
On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities. In this alert, we focus on on the impact of the priorities on registered investment companies.
On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.
The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.
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.