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.
Now that Reg BI has been in place for almost three years, the industry has received a few waves of feedback from the regulators through enforcement actions, arbitrations and additional guidance. We break them down in this article.
This month's update includes insights regarding the SEC’s largest whistleblower award, FINRA’s first expulsion for firm’s Reg BI failures, and more.
The SEC is examining investment advisers' compliance with the Advisers Act Marketing Rule. Advisers should be prepared for comprehensive examinations of their marketing practices.
In May the EU and UK announced a draft MoU for regulatory cooperation in financial services, establishing a framework for close cooperation and avoiding regulatory divergence.
The SEC's new rule amendments for mutual funds and ETFs aim to provide concise shareholder reports and require physical delivery instead of online posting.
The SEC issued guidance on the Care Obligation of Reg BI, emphasizing understanding risks, obtaining investor information, considering alternatives, and exercising caution with complex products.
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.