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 SEC found that the broker-dealer's failure to retain the text messages was in direct violation of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-4(b)(4) thereunder, which requires firms to preserve original copies of certain business-related communications sent or received for three years.
Find out what RiskMutation™ is and why it's accelerating the modernization of risk and compliance management.
The FCA recently confirmed the re-opening of the Temporary Permissions Regime (TPR). This provides a short-term Brexit opportunity for EEA based Asset Managers to operate within the UK post 31 December 2020. Our TPR Q&A examines what this means for firms.
The FCA recently provided new SM&CR guidance for solo-regulated firms on Fitness and Propriety (”F&P”) assessments and Conduct Rules training. Here we summarise these updates and provide guidance on how to meet the regulators expectations.
FINRA's Enforcement Division brought 19 enforcement actions against member firms in Q2 2020 and levied fines that totaled $2,107,000. These numbers mark a decrease in the enforcement actions and the total fine amount from the second quarter of 2019.
The importance of ensuring complete, accurate and timely reports under EMIR is in the spotlight again. This follows a recent response from the European Systemic Risk Board (ESRB) to ESMA’s March 2020 Consultation Paper on reporting to trade repositories. Reporting firms are well advised to see the response as a shot across the bows and an indication of things to come.
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.