Insights
ACA Aponix Named Due Diligence Firm of the Year at the 12th Annual International M&A Awards
ACA is proud to announce that ACA Aponix was named the Due Diligence Firm of the year at the 12th Annual International M&A Awards. The awards were announced at a Virtual Awards Gala celebration on Thursday, January 21st, 2021.
- ACA News
- Portfolio Company Risk Management
Hedge Fund Update: News You May Have Missed
In the second edition of ACA's Hedge Fund Update we cover recent industry news, regulatory updates, enforcement actions, and more.
- Compliance
Making a List and Checking it Twice: Year-End Recap and Checklist for Compliance Officers
As you look ahead to 2021, take a look at a few of 2020’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.
- Compliance
ACA Selected as a RegTech 100 Company for 2021
ACA recognised an industry leader in building innovative risk and compliance management solutions for financial services firms with its ComplianceAlpha® RegTech platform. ComplianceAlpha helps over 800 clients worldwide build progressive compliance programs that decrease risk, increase efficiency, reduce costs, and build operational resilience across their firms.
- ACA News
Zoom Scam Forces Closure of Australian Hedge Fund
Learn how hackers used a Zoom scam to execute a cyberattack that ultimately forced an Australian hedge fund to close after approving $8.7M in fraudulent invoices.
- Cybersecurity
Trade and Transaction Reporting: Fast is Fine, but Accuracy is Everything
The accuracy and quality of trade and transaction reports under MiFIR, EMIR and SFTR are a continuing source of regulatory concern, but voluminous and significant errors are still common. We examine how firms can better tackle regulatory reporting obligations.
- Trade & Transaction
SEC Issues Risk Alert Identifying 6 Areas of Deficiencies in Investment Adviser Compliance Programs
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.
- Compliance
- BCP
- Cybersecurity
Hedge Fund Update: News You May Have Missed
In the first edition of our Hedge Fund Update we discuss recent industry news, settlements, and rulings. Read more to find out the latest news you may have missed.
- Compliance
UK Announces Delayed Implementation of its Reformed Prudential Regime
The implementation of the much anticipated and discussed Investment Firms Prudential Regime ("IFPR") has been delayed in the UK until 1 January 2022. We examine what this means for financial services firms.
- Compliance
- FCA
2021 Regulatory Filings Calendar
To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
- Compliance