The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
We have acquired Catelas, expanding ACA Group's regulatory software suite to now include eComms technology. In 2022, Catelas will officially integrate with ACA’s award-winning regulatory technology platform, ComplianceAlpha®, launching ACA’s eComms Surveillance Solutions - the industry’s first 360o surveillance offering.
The SEC’s new marketing rule is in effect and the compliance date is set for November 4, 2022. To help firms prepare for the compliance date, ACA released the “Guide to the Presentation of Performance Under the New SEC Marketing Rule”.
It’s time to start preparing for 2022 and establishing a compliance budget for the upcoming year. To help firms planning for their 2022 fiscal year budget, or those adjusting spend to tackle new initiatives, get started, we have gathered from compliance professionals tips that will explain the foundational needs of a compliance budget, how that looks in action, and how to prepare for the unexpected.
Scalable GRC solutions tailored to your business
We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
Tech-powered managed services
ComplianceAlpha® is our award-winning regulatory technology platform that integrates risk and compliance activities, automated surveillance, testing, dashboard reporting, analytics, managed services, and more. See why ComplianceAlpha is helping over 1,000 leading financial services firms worldwide build more scalable and resilient compliance programs. Learn more
Who we serve
Over 3,500 financial services firms trust us to help them protect and grow their business.
Of the top 50 money managers, as noted in the ADV Ratings September 2020 ranking data
Hedge Fund Managers
Of the top 100 hedge fund managers, as noted in the May 2021 edition of Hedge Fund Alert
Private Equity Funds
Of the top 100 private equity funds, as noted in the June 2021 PEI 300
We understand your challenges and what you need to protect your business.
We’ve been in your shoes - when you work with us, you’ll have the peace of mind that comes from working with the most trusted and experienced GRC advisor in the financial services industry.
Our team’s unique combination of talent includes the largest number of former regulators, compliance professionals, legal professionals, and GIPS standards verifiers in the industry, along with practitioners in cybersecurity, performance, ESG, and technology.
We hold ourselves accountable for excellence in everything we do.
We derive immense pride from the quality of our work, the excellence of our client service, and the integrity of our team. We are committed to delivering quality, high-touch service and solutions tailored to your business.
We have our finger on the pulse of today's evolving risk and regulatory environment.
Our unique perspective is informed by the insights, trends, and benchmarking data gathered from over 3,500 GRC clients.
We can grow with you as your business grows.
Our innovative approach integrates expert consulting, on-demand managed services, and cutting-edge technology to help our clients build scalable and demonstrable compliance programs.
The FCA's recent Market Watch 68 focuses on web-based trading platforms and the rates and fixed income products traded on them, and flags concerns about gaps in surveillance, monitoring and reporting. Read our guidance on what this means for firms
The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.