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
The 2020 U.S. Election is Here: How is Your Firm Monitoring Political Contributions and Government Relationships?
A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.
Article
- Compliance
FINRA Publishes 2019 Examination Findings Report
On October 16, 2019, FINRA published its 2019 Report on Examination Findings and Observations. The Report lists FINRA’s examination findings and observations for the current year.
Compliance Alert
- Compliance
FINRA to Review Members for Regulation Best Interest Preparedness
Last week, William St. Louis, FINRA Senior Vice President and Regional Director, stated at the SIFMA C&L New York Regional Seminar that the regulator would begin reviewing firms in November to assess their Regulation Best Interest compliance readiness. Reg BI becomes effective on June 30, 2020.
Compliance Alert
- Compliance
FCA has concerns about investment firms’ personal account dealing controls
The FCA has published Market Watch 62, in which it expresses significant concerns about authorised firms’ systems and controls when it comes to Personal Account Dealing (“PAD”).
Compliance Alert
- Compliance
ACA Compliance Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators
ACA has added several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.
Press Release
- Compliance
Consultant's Corner Q&A: Preparing and Prioritizing for 2020
With less than three months of the year remaining, compliance professionals are feeling the pressure to cross off those final to-do’s for 2019 and build a strong foundation for 2020. To get firsthand insight on the challenges CCOs face, we sat down with one of ACA’s newest senior principal consultants and former CCO, Leigh Emery, to chat about the year-end obstacles, how to overcome them, and what trends to prepare for in 2020.
Article
- 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