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Home Technology Compliance Oversight Compliance Management 2025 AI Benchmarking Report Understand the role of AI in compliance with insights from industry leaders. AI adoption in financial services is accelerating at a rapid pace, with 71% of firms now using the technology in some capacity. But with this rapid adoption comes new risks, regulatory uncertainty, and operational challenges. […]

Streamline Employee Compliance with Code of Ethics Support Reduce the burden of employee compliance with ACA’s Managed Services offering. Global regulators, including the SEC, FINRA, and FCA, continue to focus on insider trading, market abuse, and conflicts of interest. ACA’s Code of Ethics and Personal Trading Support helps firms stay proactive by streamlining oversight and

FinOp Accounting Services for Broker-Dealers Meet financial and operational requirements with confidence. ACA’s Financial and Operational (FinOp) professionals help broker-dealers comply with net capital, customer protection, and financial reporting obligations, efficiently and accurately. Whether you need ongoing support or interim coverage, we deliver regulator-ready solutions tailored to your firm’s structure and needs. Get more information

Outsourced Compliance Testing Services Scale your testing program without increasing headcount. ACA’s Outsourced Compliance Testing services enable firms to execute annual compliance testing plans efficiently and accurately. We deliver regulator-ready documentation, identify exceptions, and support remediation, so your firm stays exam-ready year-round without overburdening internal resources. Get more information Compliance Testing Services We Offer ACA

Secure Cyber Gaps Before They Are Exploited Stay ahead of threats with proactive testing. Even the best cybersecurity policies, procedures, and controls cannot guarantee protection against a cybersecurity incident. Rather than waiting for an incident to identify gaps in a firm’s cyber defenses, leading firms take a proactive approach, testing and validating their cybersecurity defenses

Simplify Prudential and Liquidity Risk Specialist support to navigate IFPR prudential obligations and ICARA. Regulators are intensifying their scrutiny of capital adequacy, liquidity risk, and governance frameworks. For investment firms, particularly those in the UK and collective portfolio management investment firms (CPMIs), the burden of prudential reporting and capital planning has grown significantly under the

Aponix Foundations Right-sized cybersecurity for financial services firms. In a landscape of constant cyber threats and increasing regulatory pressure, financial services firms need a cybersecurity solution that’s built for their unique challenges. Aponix Foundations is a purpose-built cybersecurity program developed by ACA Group’s cyber and compliance experts to help firms establish cyber governance without straining

Independent Oversight for MiFIR and EMIR Reporting Accuracy Achieve accuracy, completeness, and timeliness to spot errors before the regulators do. ACA’s Regulatory Reporting Monitoring and Assurance (ARRMA) solution combines regulatory technology and expert consulting to uncover trade and transaction reporting errors early. This award-winning offering helps build confidence in compliance, and to stay ahead of

Market Abuse Risk Framework A practical, regulator-ready framework for identifying and managing market abuse risk. With growing regulatory and investor scrutiny, buy-side firms must demonstrate strong controls and conduct frameworks. ACA’s Market Abuse Risk Framework helps your firm meet expectations under the Market Abuse Regulation (MAR), MiFID II, and SM&CR. The framework, developed by experienced