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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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Our thoughts on the RiskMutation™ phenomenon affecting the future of risk and compliance

Insights and alerts related to the SEC's new Marketing Rule

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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ACA Group Selected as a RegTech100 Company for 2022

ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.

News
  • ACA News
  • Regulatory Technology
AIMA Journal Q4 2021

Holistic Surveillance – To Trading Activity and Beyond

We are delighted to be featured in the latest AIMA Journal, Edition 128 examining the effectiveness and efficiency of holistic surveillance, reasons for its growing adoption, and why regulators expect it as an expedient for preventing fraud.

Article
  • Trade Surveillance
  • eComms Surveillance
  • Regulatory Technology

ACA Group Named Best Regulatory Consultancy - North America by RegTech Insight

ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.

Press Release
  • Compliance
  • ACA News
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Ransomware 101 Part 4: How to Engage with Law Enforcement After an Attack

How to empower organizations to contact law enforcement after an attack

Article
  • Cybersecurity
  • Cybersecurity Resources
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FCA Market Watch 68: Mind the Surveillance and Compliance Gaps!

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

Article
  • Compliance
  • ComplianceAlpha
  • Trade & Transaction
  • Managed Services

2022 Regulatory Filings Calendar

Download a printable calendar with key regulatory filing deadlines for the SEC, CFTC, NFA, FCA, and ESMA in addition to national holidays at a glance.

Article
  • Compliance
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Observations from Examinations of Advisers that Provide Electronic Investment Advice

The SEC's Division of Examinations recently released their observations from exams of advisers that provide automated, electronic advice, also known as digital advisers, automated advisers, internet advisers, or robo-advisors.

Compliance Alert
  • Compliance
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FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions

FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions

Article
  • Cybersecurity
  • Cybersecurity Resources
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FINRA Updates Advertising Regulation FAQs

FINRA recently updated its FAQs about FINRA 2210, its advertising regulation, to provide firms with revised guidance.

Compliance Alert
  • Compliance
  • Performance
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ACA Group and Foreside to Join Forces

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.

Press Release
  • ACA News