Insights
ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.
- ACA News
- Compliance
ServiceNow Vulnerability Requires Immediate Attention
Recently discovered vulnerabilities in ServiceNow, a widely used IT service management platform, have exposed organizations to significant risk.
- Cybersecurity
Common AML Schemes: Elder Financial Exploitation
Elder financial exploitation and anti-money laundering both involve the misuse of financial resources for criminal or illicit purposes.
- AML and Financial Crime
What to Know About Intermediary Channels for Mutual Fund Distribution
This article will discuss the advantages and disadvantages of using an intermediary channel when distributing a mutual fund.
- Distribution
ACA Group Acquires Encore Compliance Adding AI Technology to Enhance Managed Services Capabilities
ACA Group Acquires Encore Compliance to Enhance Managed Services Capabilities with AI Technology. Acquisition enhances ACA’s technology solutions to support day-to-day compliance requirements and reduce risk
- ACA News
- Managed Services
- Compliance
- Artificial Intelligence (AI)
FinCEN Proposed Rule to Strengthen and Modernize Financial Institution AML/CFT Programs
In June 2024, the Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) proposed a rule to ‘strengthen and modernize financial institutions’ Anti-Money Laundering (“AML”) and countering the financing of terrorism (“CFT”) programs.
- AML and Financial Crime
- Investment Adviser
- SEC
National Counterintelligence and Security Center Warns Against Use of Investments by Foreign Adversaries
The U.S. National Counterintelligence and Security Center published a bulletin warning that foreign threat actors may use private investments – such as venture capital and private equity – to exploit tech startups, presenting a potential threat to economic and national security. Learn more about how to navigate this concern.
- AML and Financial Crime
- Cybersecurity
- Portfolio Company Risk Management
- Private Fund
The Evolution of Communications Surveillance
How we comply with the books and records requirement has changed as technology has advanced.
- RegTech
- ComplianceAlpha
- eComms Surveillance
Building a Value-Generating Cybersecurity Portfolio Oversight Program
It has become imperative that private equity firms institute a programmatic approach to portfolio oversight, meaning oversight that is formally governed, applied consistently, and grows valuations.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
FINRA’s Latest Fee Schedule and Form BR Filing Updates for RSLs
On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).
- Compliance
- FINRA