As regulatory expectations grow more complex, ensuring your teams have the right knowledge and tools has never been more critical.
Our comprehensive training solutions are designed to keep your firm ahead of the curve, providing tailored programs that address global and regional compliance requirements, cybersecurity challenges, and industry best practices.
The amendments to Investment Advisers Act Rule 204-2 will require advisers to maintain additional records related to the calculation and distribution of performance information.
Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.
The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise
The SEC has been paying close attention to discrepancies in Form ADV filings, specifically reviewing assets under management. When Annual Updates are due, it’s important to pay close attention to how you calculate your regulatory assets under management (RAUM).
FINRA Rule 1250 requires registered persons to participate in Continuing Education (“CE”), with both Regulatory Element and Firm Element training. We break down these categories and how to differentiate them.
When opening a new office in the securities industry, FINRA’s Rule 3110(f) outlines the role of each associated office and registration requirements for each office type.
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Join us our privacy experts, Glenn Mills and Alex Scheinman, for a discussion of PIPA requirements, potential challenges surrounding compliance and implementation, and more.
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.