Marketing Rule Best Practices: What We’ve Learned Over the Past Two Years
In this webcast, we will share valuable lessons learned over the past two years to help you meet the rule’s stringent marketing and advertising requirements.
Regulators use sophisticated technology to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. Our Market Abuse Surveillance Solution (formerly Decryptex®) provides automated, in-depth trade surveillance to help your firm identify potential misconduct and insider trading risk. Watch our trade surveillance software provider video to learn more.
The FCA unveiled its Business Plan for 2024/25 providing a roadmap for its actions in support of its strategic objectives for the upcoming fiscal year.
Download our checklist to ensure your surveillance program can weather changing the risk environment.
The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.
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.
In this webcast, we will share valuable lessons learned over the past two years to help you meet the rule’s stringent marketing and advertising requirements.
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.