Compliance Program Development and Enhancement

Navigate the changing risk and compliance landscape

As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.

Our solutions

In additional to ongoing compliance manual maintenance support, our team can assist you with a range of topical compliance challenges, including:

AIFMD Consulting & Support

Drafting of your documentation, policies, procedures and controls for AIFMD impacted EEA-based investment managers of alternative investment funds, and also non-EEA advisers who wish to market such funds into the EEA.

Stay on top of financial crimes-related threats and regulatory concerns with AML consulting support. We can support with independent testing and risk management, as well as, development of AML, KYC/CDD, FCPA and anti-bribery, and cybersecurity policies and procedures.

Updating of policies, procedures and compliance manuals for firms with a UK-based presence, reflecting new rules and regulations following the exit of the UK from the European Union.

Policy and procedure development and program management including carbon footprinting, climate risk scenario analysis, net-zero management, DEI baselining and training, portfolio performance assessment, reporting (UN PRI, TCFD, SFDR), and marketing and disclosures reviews.

FCA Marketing Abuse Regulation (MAR) Solutions

Focused and cost-effective assessment of your firm’s policies, procedures, monitoring program, surveillance techniques, and controls environment. We can also provide a deep-dive review, benchmarking, and testing of your firm’s market abuse arrangements.

LIBOR

Assistance in devising your LIBOR transition plans, assessing and reviewing your firm’s reliance and usage of LIBOR, or performing a gap analysis review of your transition work to date.

Our investment company team will help you to navigate the SEC’s liquidity risk management program rule through educational resources and alerts, benchmarking insight, help with program management and development of policies and procedures, annual assessments.

MiFID II Consulting & Support

Our post-implementation review is designed to review, test and benchmark your MiFID II program to identify gaps and reduce your regulatory risk.

Our prudential team are on-hand to help provide regulatory oversight of your firm’s capital monitoring and forecasting, and regulatory reporting processes. This includes support with the upcoming Investment Firms Prudential Regime (IFPR).

Regulation Best Interest (Reg BI) and Form CRS

We can help broker-dealers understand the compliance and operational issues presented by Reg BI as they relate to their retail business. Our consultants can assist in designing customized procedures that will detail the steps needed to address Reg BI’s requirements as they relate to your firm.

SM&CR Compliance Solutions

Post-implementation reviews of your documentation, framework and internal process, gap analysis, as well as senior manager and conduct rule training.

Policy and procedure development and thematic project support to help make sure your trade and transaction reporting is in line with MiFID/MIFIR and EMIR regulatory requirements.

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Latest insights

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.

Press Release
  • Compliance
  • ACA News
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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

Article
  • 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.

Article
  • Compliance
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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 Alert
  • Compliance
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FINRA Updates Advertising Regulation FAQs

FINRA recently updated its FAQs about FINRA 2210, its advertising regulation, to provide firms with revised guidance.

Compliance Alert
  • Compliance
  • Performance
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FINRA Releases AML/CFT Priorities

FINRA issued Regulatory Notice 21-36 urging firms to consider how to incorporate the government-wide Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Priorities into their AML programs.

Compliance Alert
  • Compliance
  • AML and Financial Crime

News

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.

ACA Group and Foreside to Join Forces

The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

Upcoming events

Compliance Officer: The Roles and Responsibilities - 7 December 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training

eComms Surveillance Solution Demo

Join ACA's Eddie Cogan as he conducts a deep dive demo of our machine learning based eComms Surveillance Technology solution (formerly Catelas).

Webcast