Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
ACA Compliance Group was founded in 2002 by four former SEC regulators and one former state regulator. The founders saw a need for investment advisers to receive expert guidance on existing and new regulations.
Over the years, ACA - now ACA Group - has grown both organically and by acquisition to expand our GRC business and technology solutions. Our services now include GIPS® standards verification, cybersecurity and technology risk, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and Mirabella for establishing EU operations.
Who we are
Our team includes over 600 employees located worldwide.
Our team includes over 90 former regulators and compliance officers in addition to experts in cybersecurity, ESG, performance, and technology.
We work with more than 3,500 clients worldwide who help inform insights, trends, best practices, and benchmarking.
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
Former global prime broker and industry consultant joins multi-award-winning regulatory hosting division
ACA Aponix selected as the winner of the Cybersecurity Technology Award by The DrawDown Private Equity Service Provider Awards.
Join us Thursday, March 11 at 11:00 am EST for a live webcast on FINRA Priorities and Hot Topics to learn more about how the recently released priorities may impact you and your compliance program.
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.