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.
Various regulators are working to clarify and expand their authorities over cryptocurrency assets, but with over $2 trillion in value wiped out since November 2021, market dynamics are driving changes faster than the regulators.
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.
The SEC recently released a risk alert highlighting deficiencies in the areas of MNPI and the Code of Ethics Rule.
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.
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.
Financial services firms face a bumpy ride in 2022, as the tectonic plates of regulatory change shift again within a rapidly evolving operating environment. Download our complimentary whitepaper to identify your GRC gaps before the regulator does.
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.