Insights
Budget Benchmarking Survey Series: Compare Your Cyber and Compliance Program Resources to Your Peers
Participate in our budget and staffing surveys to learn how your peers are allocating their program’s resources and prepare for the 2023 budgeting season.
- Compliance
- Cybersecurity
Transaction Reporting: Man vs. Machine
With 97% of firms getting their transaction reporting wrong, it's clear they cannot rely solely on technology to create and submit complete and accurate reports under MiFIR, EMIR or SFTR. Can firms simply leave it up to the machines to detect errors? Or is human intervention key to ensuring the reporting is being done correctly?
- Trade & Transaction
- Compliance
New SEC Marketing Rule Master Class Podcast Released
We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.
- Compliance
- Performance
- SEC Marketing Rule
The Benefits of an Integrated Surveillance Solution
Regulatory expectations around firms’ trade surveillance programmes is rising, thanks in large part to the advent of Supervisory Technology (SupTech). The US SEC and the UK FCA are now ingesting significant volumes of transaction data every day, and are monitoring that data for potential market abuse very effectively. Is it time for firms to put more focus on this area to avoid being caught short?
- Compliance
- ComplianceAlpha
- FCA
- SEC
Looking Ahead: A Review of FCA and SEC Priorities, and What to Focus on in 2022
What are the key developments across the FCA and SEC regulatory regimes, which items should feature as priorities on your “to-do” list for the next twelve months, and how should firms respond to increased surveillance by regulators around the world?
- Compliance
- FCA
- SEC
- ESG
- SEC Marketing Rule
Finding Stability in an Unpredictable World
We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.
- FCA
- SEC
- ESG
- SEC Marketing Rule
- Compliance
Five Things to Know About TCFD
Learn about the recommendations from the Task Force on Climate-Related Financial Disclosures (TCFD) to incorporate climate-related risks and opportunities into companies' decision-making processes.
- ESG
ACA Group Selected as an AIFinTech100 Company for 2022
ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.
- ACA News
- RegTech
New Marketing Rule Challenges for Real Estate Advisers
Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.
- Compliance
Future-Proofing Compliance Best Practices with Technology
Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.
- RegTech
- ComplianceAlpha
- Compliance