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.
FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.
This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.
ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.
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.