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.

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Our solutions

In additional to ongoing compliance manual maintenance support, our ACA compliance cycle management 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. Our ACA compliance cycle management services 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 for compliance enhancement.

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

Our ACA compliance cycle management experts 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 for compliance enhancement.

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

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Case Study: Global Investment Firm Turns to ACA's ARRMA to Boost Transaction Reporting

Examining how ACA's transaction reporting team and ARRMA services helped a global investment firm to identify several areas where improvements could be made, creating a usable roadmap for compliance with transaction reporting, as their firm grows into a multiple new asset classes.

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Crypto Asset Meltdown May Have Far-Reaching Implications

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What’s in the Updated UK Regulatory Initiatives Grid?

UK regulators and governing bodies recently published a coordinated approach for regulatory initiatives and a revised pipeline for financial services regulation over the next 24 months. We outline what these changes mean for firms, and what they need to plan for in the coming months to be sure to stay in line with regulatory expectations.

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ComplianceAlpha Solves for MNPI and Code of Ethics Deficiencies

The SEC recently released a risk alert highlighting deficiencies in the areas of MNPI and the Code of Ethics Rule.

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The Positioning of Private Markets Amid the Post-Pandemic Great Recovery

Private markets are set to play a substantial role in the post-pandemic economic recovery of the UK over the course of 2022. We examine how firms can future-proof their businesses, and the businesses within their portfolios, and the impact that regulatory divergence will have on firms that operate in multiple jurisdictions.

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Winner, The Drawdown Award for Legal, Compliance & Regulatory 2022

ACA Group Wins Best Regulatory Advisory Firm at The Drawdown Awards 2022

ACA Group awarded Best Legal, Compliance and Regulatory Advisory firm at The Drawdown Awards 2022. These awards celebrate excellence and innovation within private capital fund operations.

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ACA Group Acquires Financial Compliance Firm, FINOP Consulting

Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.

ACA Group Recognized on ESGFinTech100 Among Top Industry Innovators

We are thrilled to announce that ACA Group has earned a spot on the prestigious 2024 ESGFinTech100 list, joining the ranks of the world's most innovative ESG technology providers.

Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals

The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.

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