Insights
Review and Enhance Your Holistic Surveillance Program: A Year-End Checklist
As you approach year-end and budget season, it’s a good time to review your surveillance program and determine what enhancements may be needed.
- RegTech
- Trade Surveillance
- eComms Surveillance
- Personal Account Dealing
ACA Group Named Accounting/Due Diligence Firm of the Year by M&A Advisor
ACA Group announced today that ACA Aponix® is the recipient of the Accounting/Due Diligence Firm of the Year in the 20th Annual M&A Advisor Awards. The M&A Advisor Awards are the benchmark for dealmaking excellence, recognizing the leading M&A Transactions, Restructurings, Deal Financings, Product/ Services, Firms, and Professionals.
- Cybersecurity
- Cybersecurity Resources
- ACA News
ACA Group Selected as a RegTech100 Company for 2022
ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
- ACA News
- RegTech
Holistic Surveillance – To Trading Activity and Beyond
We are delighted to be featured in the latest AIMA Journal, Edition 128 examining the effectiveness and efficiency of holistic surveillance, reasons for its growing adoption, and why regulators expect it as an expedient for preventing fraud.
- Trade Surveillance
- eComms Surveillance
- RegTech
ACA Group Named Best Regulatory Consultancy - North America by RegTech Insight
ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.
- Compliance
- ACA News
Ransomware 101 Part 4: How to Engage with Law Enforcement After an Attack
How to empower organizations to contact law enforcement after an attack
- Cybersecurity
- Cybersecurity Resources
FCA Market Watch 68: Mind the Surveillance and Compliance Gaps!
The FCA's recent Market Watch 68 focuses on web-based trading platforms and the rates and fixed income products traded on them, and flags concerns about gaps in surveillance, monitoring and reporting. Read our guidance on what this means for firms
- Compliance
- ComplianceAlpha
- Trade & Transaction
- Managed Services
2022 Regulatory Filings Calendar
Download a printable calendar with key regulatory filing deadlines for the SEC, CFTC, NFA, FCA, and ESMA in addition to national holidays at a glance.
- Compliance
Observations from Examinations of Advisers that Provide Electronic Investment Advice
The SEC's Division of Examinations recently released their observations from exams of advisers that provide automated, electronic advice, also known as digital advisers, automated advisers, internet advisers, or robo-advisors.
- Compliance
FINRA Updates Advertising Regulation FAQs
FINRA recently updated its FAQs about FINRA 2210, its advertising regulation, to provide firms with revised guidance.
- Compliance
- Performance