MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
The importance of ensuring complete, accurate and timely reports under EMIR is in the spotlight again. This follows a recent response from the European Systemic Risk Board (ESRB) to ESMA’s March 2020 Consultation Paper on reporting to trade repositories. Reporting firms are well advised to see the response as a shot across the bows and an indication of things to come.
As summer winds down and we gear up for a busy fall we thought we’d take a moment to look back at the most popular ACA articles so far this year.
The FCA recently added a webpage reminding solo-regulated firms of their obligation to report breaches of its conduct rules (and ensuing disciplinary action) as required under the Senior Managers and Certification Regime (SM&CR).
Throughout the lockdown, the FCA and SEC have voiced thier expectation that private information is handled appropriately and that firms maintain adequate and appropriate information barriers. Firms should revisit what is considered “private” information and how that can get a little grey and nuanced in the private markets sector.
The SEC and FINRA issued updated guidance on the characterization of U.S. broker-dealers under the Customer Protection Rule. This new guidance states that Non-Covered Firms that solely engage in Non-Covered Firm activities are no longer subject to any Rule 15c3-3 requirements.
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Join our team in NYC at the MFA Legal & Compliance Conference.
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.