The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.
With a client base of over 3,500 firms, our filing compliance solution services have successfully assisted thousands of firms through the registration and authorization process.
Our team includes 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.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
Regulatory expectations around firms’ trade surveillance programmes is rising, thanks in large part to the advent of Supervisory Technology (SupTech). The US SEC and the UK FCA are now ingesting significant volumes of transaction data every day, and are monitoring that data for potential market abuse very effectively. Is it time for firms to put more focus on this area to avoid being caught short?
What are the key developments across the FCA and SEC regulatory regimes, which items should feature as priorities on your “to-do” list for the next twelve months, and how should firms respond to increased surveillance by regulators around the world?
We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.
Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.
Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.
The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest
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.
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.
This unique webinar, which will share the results and key findings from over 200 compliance leaders that participated in the ACA and NSCP’s 2024 AI Benchmarking Survey.