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Regulatory change is here for Private Fund Advisers

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ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month

ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month. Reflecting on a decade of cybersecurity leadership, technological advancement, and industry recognition for financial services

News
  • ACA News
  • Cybersecurity
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Q4 2024 Regulatory Reporting Deadlines

Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from October through December 2024.

Article
  • Compliance
  • FCA
  • FINRA
  • Regulatory Deadlines
  • SEC
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Honoring the Legacy of Michael Lehman

ACA remembers and honors the life of Michael Lehman, the co-founder of Decryptex, now known as our Market Abuse Surveillance solution, a cornerstone of ACA’s ComplianceAlpha® platform today.

News
  • ACA News
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CFTC Approves Registration Amendments

The CFTC approved some of the proposed amendments to CFTC Regulation 4.7.

Compliance Alert
  • Compliance
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The ESAs Solidify Their Expectations Under DORA

The ESAs’ second wave of DORA policy products underscore the urgency for firms to ensure readiness.

Article
  • Cybersecurity
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FINRA’s Residential Supervisory Location Reporting Requirements

FINRA has established streamlined reporting requirements for RSLs through Form U4.

Compliance Alert
  • Compliance
  • FINRA
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AML/CFT Program and SAR Filing Requirements for U.S. Investment Advisers

FinCEN issued a final rule imposing AML and CFT program and SAR filing requirements on RIAs and ERAs.

Compliance Alert
  • AML and Financial Crime
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Governance in a Cybersecurity Portfolio Oversight Program

An effective cybersecurity oversight program should be formally governed by accountable individual(s) to ensure it meets investor and firm needs.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Portfolio Company Risk Management
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10 Things ESG Scores Can (and can’t) Do For Investors

ESG data is essential to fully understand the sustainability, ethical practices, and long-term viability of companies.

Article
  • ESG
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ACA Group Enhances eComms Technology Solutions Suite with Next-Generation Archive Capabilities

ACA Group announced a major upgrade to its eComms Technology Solutions within the ComplianceAlpha platform.

Press Release
  • ACA News
  • eComms Surveillance
  • ComplianceAlpha
  • RegTech