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.
For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.
SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from July through September 2022.
The SEC approved a rule change to amend FINRA Rule 2231 with respect to Customer Account Statements. FINRA will announce the proposed change’s effective date shortly.
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
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.
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.