SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
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.
ACA Aponix® has been designated as a HITRUST CSF Assessor by HITRUST. This achievement allows us to provide services using the HITRUST CSF, a comprehensive security framework that addresses the multitude of security, privacy, and regulatory challenges facing organizations in order to comply with healthcare (HIPAA, HITECH), third-party (PCI, COBIT), government (NIST, FTC), and other industry-specific regulations and standards.
The 2017/18 UK tax return deadline has now passed, but did you know there are a range of post-submission challenges that may impact you - some of which you may not be aware of? These include, Disappearing Payments on Account, Delays in Processing Amended Tax Returns, Ongoing Class 2 National Insurance Problems and Scams. Our personal tax specialist, Paul Webster, provides guidance on how to address these challenges.
Analytical segmentation modeling (ASM) is one way to design an effective AML monitoring strategy through the development of a quality model to achieve segmentation. ASM involves combining customer or bank accounts with similar properties and transaction behavior to make it easy for banks to formulate risk signals based on their various classes of customers. This model sets threshold levels for the segments monitored by identifying patterns based on the groups of similar customers and/or accounts.
Regulators globally continue to invest in developing their technological capabilities to quickly and efficiently manage data, and they expect investment firms to do the same. In this blog post, we discuss what you need to know and how regulatory technology solutions can help.
ACA Compliance Group has promoted Dan Campbell, Kimberly Daly, and Kent Wegrzyn to Partner. Each has contributed significantly to the growth of ACA and has provided exemplary service to their clients.
Tax season is a prime time for identify theft. Find out how you can avoid common tax scams.
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
ACA Group acknowledged as one of the most innovative tech companies offering data management solutions in financial services
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.