2025 ACA Conference
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.
Conference
Comprehensive Training Solutions
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.
Latest insights
Q3 2020 Regulatory Reporting Deadlines
ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.
Compliance Alert
- Compliance
Summary of FINRA Regulatory Actions in Q1 2020
The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000 in the first quarter of 2
Compliance Alert
- Compliance
Extension of SM&CR Implementation Period for Solo-Regulated Firms
The FCA and Treasury have agreed to extend the deadline for FCA solo-regulated firms’ assessment of their Certified Staff as fit and proper by just over 100 days, to 31 March 2021. We examine what firms need to do to make sure they are compliant by the new deadline.
Compliance Alert
- Compliance
Sunak Calls the Shots: The FCA's New Boss and the UK's Agenda for Financial Services Regulation
Whilst lockdown restrictions start to ease and the green shoots of a post-pandemic world tentatively emerge, two notable developments have come out of the UK government this week. What do these indicate about the UK's financial services post-Brexit?
Compliance Alert
- Compliance
Compliance Deadline Approaching for Regulation Best Interest and Form CRS
The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.
Compliance Alert
- Compliance
OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics
OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.
Compliance Alert
- Compliance
News
ACA Group Acquires Global Trading Analytics to Offer Clients Leading Transaction Cost Analysis Capabilities
ACA Group Acquires Global Trading Analytics to Offer Clients Leading Transaction Cost Analysis Capabilities
Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms
Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year