Insights

November 21, 2022

FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.

November 18, 2022

We discuss the important role of sustainable investing strategies in private debt, and discuss the challenges and opportunities private lenders face in deploying an ESG framework.

November 16, 2022

VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification

November 16, 2022

The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.

November 16, 2022

Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.

November 14, 2022

Senior Principal Consultant from ACA Foreside’s ETP Distribution Operations team recognized for outstanding contribution to the development of the global asset management industry.

November 11, 2022

The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.

November 08, 2022

This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.

November 02, 2022

ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.

November 01, 2022

Macroeconomic trends are coming together to create a “superstorm” making it difficult for the financial industry to find and retain talent, creating compliance risks for firms. What are the practical solutions to address these challenges?