Insights
ACA Compliance Group Secures $40 Million from Consortium of Existing Investors Led by Starr Investment Holdings
Governance, Risk, and Compliance Leader to Scale New Product Development and Drive Continued Focus on Customer Success
- ACA News
OCIE Risk Alert Warns of Increase in Ransomware Attacks
The SEC OCIE has issued a Risk Alert warning of an increase in the sophistication of ransomware attacks against SEC registrants with attackers using advanced phishing and other social engineering tactics to penetrate financial institution networks and install malware that limits company access to data until a ransom is paid.
- Cybersecurity
Q3 2020 Regulatory Reporting Deadlines
ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.
- Compliance
Summary of FINRA Regulatory Actions in Q1 2020
The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000 in the first quarter of 2
- Compliance
COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?
Download our surveillance gap assessment checklist to see how your program measures up.
- RegTech
- COVID-19
- Trade Surveillance
- Personal Account Dealing
Extension of SM&CR Implementation Period for Solo-Regulated Firms
The FCA and Treasury have agreed to extend the deadline for FCA solo-regulated firms’ assessment of their Certified Staff as fit and proper by just over 100 days, to 31 March 2021. We examine what firms need to do to make sure they are compliant by the new deadline.
- Compliance
Sunak Calls the Shots: The FCA's New Boss and the UK's Agenda for Financial Services Regulation
Whilst lockdown restrictions start to ease and the green shoots of a post-pandemic world tentatively emerge, two notable developments have come out of the UK government this week. What do these indicate about the UK's financial services post-Brexit?
- Compliance
Updates to the CCPA: Deadline is July 1
As we approach the California Consumer Privacy Act (CCPA) enforcement deadline you may be wondering what happens next. We have updated our CCPA FAQs with the most up-to-date information.
- Cybersecurity
- Privacy
Compliance Deadline Approaching for Regulation Best Interest and Form CRS
The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.
- Compliance
Abide Closure – What Happens Next?
With CME winding down Abide, its European regulatory reporting platform, many firms now face a complex, time-critical move to an alternative transaction reporting provider. We explore what this means for affected firms and what's needed to ensure ongoing compliance.
- Trade & Transaction