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.
The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at a
Regulatory mandates and pressure from investors are driving firms to implement new security policies which can be challenging for employees. Here's a set of key guidelines to minimize the impact and maximize the value of implementations for your employees.
Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.
With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.
The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis.
With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions. With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.
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.
ACA Group Acquires Encore Compliance to Enhance Managed Services Capabilities with AI Technology. Acquisition enhances ACA’s technology solutions to support day-to-day compliance requirements and reduce risk
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.