The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.
Aponix® Protect helps firms address evolving cyber risks and threats to ensure that their cybersecurity needs are covered year-round. This solution is designed to provide firms with a flexible, robust, responsive, and cost-effective cybersecurity program.
Through our flexible multi-year program, we help you operate a strategic and right-sized cybersecurity program designed to:
- Keep your organization safe from ongoing cyber threats
- Meet evolving regulatory requirements
- Meet increasing investor expectations
Get access to ACA’s cyber, privacy and risk consultant base for testing, validation, and operational support for day-to-day cybersecurity coverage as well as the ability to quickly respond to future threats and regulatory changes.
How we support you
- Dedicated, single point of contact
- Multi-year, flexible and scalable program
- Right-sized and tailored to your organization
- Coordinated, proactive, and always on
- Pragmatic recommendations and advice
- Regular checkpoints
- Meet regulatory requirements
- Keep your firm safe from evolving cyber threats
Aponix Protect Base
The solution includes a core service package that is tailored and right-sized to your organization’s unique needs and requirements. For additional flexibility, you can purchase bolt-on modules of features that you can pick and choose from.
- Risk assessment
- Review and update security policies
- Staff training (including cyber awareness, phishing testing, and incident response tabletop exercises)
- Build and maintain multi-year cyber program roadmap
- Work with MSP to oversee/validate risk remediation activities
- News alerts
- Quarterly advisory conversation
- Monthly status updates
- Investor and insurer DDQ assistance
- Regulatory exam support
- On-demand help and advice
- Threat and vulnerability monitoring
- Program Build
- Targeted Assessments
- Testing & Validation
- A la Carte Features
ACA Group announced today that ACA Aponix® is the recipient of the Accounting/Due Diligence Firm of the Year in the 20th Annual M&A Advisor Awards. The M&A Advisor Awards are the benchmark for dealmaking excellence, recognizing the leading M&A Transactions, Restructurings, Deal Financings, Product/ Services, Firms, and Professionals.
ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.