Insights
Mobile Communication Capture: Navigating the Landscape of Governed vs. Native Solutions
As mobile communication becomes the dominant medium for business, the need for robust mobile capture solutions has never been greater.
- eComms Surveillance
- RegTech
- ComplianceAlpha
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
- ACA News
- Artificial Intelligence (AI)
- Compliance
New AML/CFT Regulations for U.S. Investment Advisers: What You Need to Know
Download our cheat sheet to better understand new AML regulatory obligations for investment advisers and how to meet them.
- AML and Financial Crime
ACA Named Best ETF Distributor for Consecutive Year at 2024 ETF Express US Awards
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
- ACA News
- Distribution
White Paper: SEC Marketing Rule, GIPS Standards, and FINRA RN 20-21 - What Sets Them Apart?
A practical guide to navigating key compliance standards for financial marketing.
- Performance
- SEC Marketing Rule
- GIPS Standards
New SEC Rule on Short Selling: Key Filing Requirements and Deadlines for Form SHO
The SEC's new Rule 13f-2 requires institutional investment managers to file Form SHO starting January 2, 2025.
- SEC
SEC Enforcement Action for Incomplete Cyber Incident Disclosures
The SEC recently charged four companies for insufficient disclosures related to cyber incidents alleging they did not fully communicate the nature and impact of the cyber breach.
- Cybersecurity
Outsourcing Regulatory Filings: A Strategic Advantage for Investment Managers
Regulatory filings can often be both time-consuming and resource-intensive. Outsourcing the filing process can provide many benefits
- Regulatory Deadlines
Mastering Employee Compliance: Key Strategies for CCOs
Key strategies can help you effectively manage employee compliance, foster a culture of adherence, and support the organization's overall success.
- Compliance
- ComplianceAlpha
Former SEC Leader Robert Baker Joins ACA Group's Tech-Enabled Mock Examination Team
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
- ACA News