Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Prepare a robust prudential programme to meet new regulatory expectations.
The Investment Firm Prudential Regime (IFPR) came into force on 1 January 2022, directly impacting any group that owns an FCA authorised firm that provides MiFID investment services and activities - regardless of their location.
These new prudential rules introduce more complex and onerous capital, liquidity, reporting and governance requirements for affected firms - many are now facing requirements to maintain significantly greater levels of capital.
It's vital that impacted firms understand and implement the new requirements to stay on the right side of the regulator.
Polls conducted during ACA’s European Regulatory Horizon virtual conference in March 2021 found that:
said they are ready and capitalised for the IFPR.
feel compliance systems and resources, including the drafting of new procedures, are the most impactful area of the regime.
29% see increased capital requirements as having the greatest impact.
The Investment Firm Prudential Regime (IFPR) directly impacts any group that owns an FCA authorised firm that provides MiFID investment services and activities.
Time is ticking for firms to get their programmes in place. Download our checklist to find out top tips to address your obligations, ahead of the 1 January 2022 deadline.
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.
The Cybersecurity and Infrastructure Security Agency (CISA) issued two advisories that require impacted firms to take immediate action.
Adopting new technology is a great opportunity to review your compliance program’s processes and make improvements.
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.
Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules
ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.
As the curtains close on the ACA Conference 2024, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules
ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.