Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Senior Managers & Certification Regime: 6 major challenges for firms
As firms look to address the FCA’s Senior Managers and Certification Regime (“SM&CR”), ahead of the December 9 deadline, we observe six common themes and challenges emerging from their project implementation.
Article
- Compliance
UK Self-Assessment: Post-Submission Challenges
The 2017/18 UK tax return deadline has now passed, but did you know there are a range of post-submission challenges that may impact you - some of which you may not be aware of? These include, Disappearing Payments on Account, Delays in Processing Amended Tax Returns, Ongoing Class 2 National Insurance Problems and Scams. Our personal tax specialist, Paul Webster, provides guidance on how to address these challenges.
Article
- Compliance
New Year, New Risks - Support Solutions for CCOs in 2019
As the government shutdown continues and uncertainty abounds,
Article
- Compliance
Potential Risks for Banks Using Third-Party Broker-Dealers
Third-party risk management is a key priority for banking regulators like the Office of the Comptroller of the Currency (“OCC”). Every one of the many thousands of service providers a bank may use exposes them to different levels of risk - some of which can be serious and costly. This is why banking regulators are requiring strong, risk-based due diligence and ongoing monitoring before and after a third party is hired. Roy Kim explains what you need to know.
Article
- Compliance
One Year On: MiFID II Continues to Challenge
As of today, 3 January, the EU’s Markets in Financial Instruments Directive II (MiFID II) has been live for a year.
Article
- Compliance
UK Buy Side Should Prepare for More FCA Market Abuse Scrutiny
The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at a
Compliance Alert
- Compliance
Events
2024 FINRA Annual 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.
Conference
Navigating AI Implementation: Compliance Considerations for Private Markets
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.
Webcast