Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
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, we've 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.
Recent research and analysis shows 97% of reports under MIFIR/EMIR contain inaccuracies, on average each report has 30 separate error types. But worryingly, despite this, 87% of firms are confident in the quality of their reports. On the anniversary of EMIR REFIT, data quality is still poor
In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.
To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.
Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).
With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline
Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM.
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 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.
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.