Insights
Getting Brexit ready – About the Temporary Permissions Regime, and how to apply
Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.
- Compliance
Practical Guidance: The 2020 GIPS Standards for Asset Owners
As a result of increased transparency and due diligence on the part of asset owners, there is growing interest in attaining GIPS compliance among the asset owner community.
- Performance
White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond
ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.
- Compliance
OCIOs look to the GIPS standards to provide greater performance transparency
The Outsourced Chief Investment Officer (“OCIO”) model became widely adopted about a decade ago and since then the industry has grown rapidly, with well over 100 firms providing some level of these services.
- Performance
GIPS Compliance Notification Form Now Available
Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.
- Performance
ACA Compliance Group Adds Payment and Fraud Risk Assessment Service
Our payment and fraud risk assessment offering is designed to help firms identify and remediate vulnerabilities within payment flows in order to reduce the risk of costly fraud issues. Learn how we can help your firm.
- ACA News
Payment Fraud: Understanding the Risks and Protecting Yourself and Firm
Payment fraud threats are a major concern for financial services firms globally, with fraud trends reflecting a continued and sustained growth over the past few years. It has become essential that firms are proactive in predicting and assessing their exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident.
- Cybersecurity
Managing Expanding Compliance Expectations With Limited Resources
While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.
- Compliance
Summary of FINRA's Regulatory Actions in 2019
FINRA's Enforcement Division brought 108 enforcement actions and levied fines against member firms that totaled $57,981,625 in 2019. These numbers mark a significant decrease in the enforcement actions and total fines from 2018.
- Compliance
ACA Compliance Group Adds Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha
New insider trading and market abuse rules in ComplianceAlpha's Employee Compliance solution allow firms to monitor their employees' trading activity for potential insider trading, market abuse, and other misconduct.
- ACA News