Facing the FCA: Managing Scrutiny and Strengthening Compliance with Health Checks and Mock Exams
Join us on Tuesday, February 11, 2025, at 2pm GMT when we delve into practical strategies to enhance your firm's FCA compliance readiness.
Webcast
Comprehensive Training Solutions
As regulatory expectations grow more complex, ensuring your teams have the right knowledge and tools has never been more critical.
Our comprehensive training solutions are designed to keep your firm ahead of the curve, providing tailored programs that address global and regional compliance requirements, cybersecurity challenges, and industry best practices.
Latest insights
The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance
In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance.
Compliance Alert
- Compliance
- FCA
- Trade Surveillance
- RegTech
- ComplianceAlpha
The Fifth Circuit Court of Appeals Rules to Vacate the SEC's Private Fund Adviser Rules
Although the court ruled to vacated the SEC's Private Fund Adviser Rules, we do not see this as a moment to "put pencils down,” but rather to monitor closely and continue with compliance readiness under potential appeal outcomes.
Compliance Alert
- Compliance
- SEC
- Private Fund
The Overseas Funds Regime
Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.
Article
- FCA
- Compliance
Changes Coming to the NFA’s Member Questionnaire (Formerly Known as the Annual Questionnaire)
New amendments adopted by the NFA will require individuals who are both a principal and an associated person to review, sign, and submit the Member Questionnaire.
Compliance Alert
- Compliance
FINRA Maintenance Margin Requirements Become Effective May 22, 2024
FINRA’s amendments to Rule 4210 requires members to collect margin for each counterparty's excess mark or market loss related to covered agency transactions.
Compliance Alert
- Compliance
- FINRA
Ten Advantages of Pursuing FCA Authorisation
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
Article
- FCA
- Compliance
News
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Revolutionizes ESG Data Management with Enhanced ACA Vantage for ESG Platform
ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Upcoming events
The Seven Deadly Sins of ICARA Compliance: Navigating Pitfalls and Embracing Best Practices
Join us on 12 February 2025 as we highlight common pitfalls in ICARA implementation, including inadequate liquidity stress testing, poor wind-down planning, and unclear risk linkage.
Webcast
Global Focus on Financial Crime: Emerging Regulatory Trends and Compliance Strategies Across the U.S., EU, and UAE
Join us as our esteemed speakers explore trends in financial crime, examine key regional regulatory priorities, and provide actionable insights to strengthen AML and CFT programs.
Webcast