2025 ACA Conference
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.
Conference
Compliance Program Reviews, Mock Exams, and Gap Analysis
Identify gaps in your firm’s governance, control arrangements, and policies and procedures.
Whether you’re looking to fulfill your annual SEC compliance program review as mandated by Rule 206(4)-7 of the Investment Advisers Act of 1940 or your FINRA-required annual review, we can help. Our services also support compliance gap analyses to determine if your firm is operating within the remit of its FCA Part 4A license permission.
For firms in the UAE, we provide regulatory compliance support to help navigate the requirements of the Dubai Financial Services Authority (DFSA) and the Financial Services Regulatory Authority (FSRA). We also assist with thematic compliance program reviews and offer ongoing regulatory consulting throughout the year.
Conducting periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to mitigate regulatory risk, strengthen compliance frameworks, and avoid the cost and reputational risk of future scrutiny or enforcement — whether under the SEC, FINRA, FCA, DFSA, or FSRA.
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Why work with us?
Regulatory gaps, failings or weaknesses can result in fines, reputational damage, and even criminal sanctions.
Gain the peace of mind that comes from working with the most trusted and experienced GRC advisor in the financial services industry. With former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions, we offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
Guide
Compliance Testing Action Plan
Investment advisers often have robust compliance assessment programs in place to ensure their staff and control environment remain a well-oiled machine. Most of the time, such testing programs are front of mind and on top of the daily, weekly, or monthly to-do list.
Yet over the past year – as compliance professionals have been forced to work from home during a global pandemic that comes with additional family obligations, enhanced day-to-day surveillance of staff, and adapting to changing expectations - testing has fallen to the bottom of the priority list. Unfortunately, the obligation to forensically test and/or stress test your compliance program remains.
Download our Compliance Testing Action Plan to help you and your firm get started.
Latest insights
Brexit: The Impact on Your Marketing and Distribution Activities
With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions. With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.
Article
- Compliance
Planning Your 2019 Compliance Budget Part Two: Top 5 Budgeting Tips from ACA’s Former Regulators and CCOs
As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.
Article
- Compliance
Planning Your 2019 Compliance Budget Part One: Building the Foundation
As year-end nears, compliance teams are beginning to plan for 2019. To assist with the annual budgeting process, ACA has compiled the following information to help firms stretch limited resources and keep pace with the regulatory developments shaping next year’s compliance efforts.
Article
- Compliance
UK Budget 2018
The UK’s Chancellor of the Exchequer has delivered his 2018 Budget. This was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.
Article
- Compliance
MSRB Published Revised FAQs with Respect to New MSRB Rule G-40
On September 17, 2018, the Municipal Securities Rulemaking Board (“MSRB”) published a revised set of frequently asked questions (“FAQs”) regarding the application of MSRB Rule G-40 to advertising by municipal advisors.
Compliance Alert
- Compliance
How ETP Managers Can Ensure Compliance with Continued Listing Standards
In early 2017, the SEC approved rule-change proposals establishing continued listing standards for passively and actively managed exchange-traded products. More specifically, the rules require ETP issuers and managers to adopt new monitoring and oversight protocols to ensure continued compliance with the applicable listing standards. In the event an ETP falls out of compliance with the standards, the Manager must promptly notify the appropriate Exchange.
Article
- Compliance
News
ACA Group Acquires Global Trading Analytics to Offer Clients Leading Transaction Cost Analysis Capabilities
ACA Group Acquires Global Trading Analytics to Offer Clients Leading Transaction Cost Analysis Capabilities
Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms
Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year