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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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Vote for ACA in the Waters Rankings 2019

We're excited that ACA has been shortlisted for Best Cyber-Security Provider, Best Portfolio Management System Provider, Best Enterprise Data Management (EDM) Systems Provider, and Best AML Compliance Solution Provider in the Waters Rankings 2019! Please take a moment to vote for us.

News
  • ACA News

ACA Expands Regulatory Technology and Service Offerings in Europe

ACA Technology Solutions is pleased to announce our expanded regulatory technology and service offerings for our Europe clients.

Press Release
  • Regulatory Technology

ACA Compliance Group Announces Online Insider Trading Awareness Training for Investment Advisers

ACA Compliance Group is excited to announce the expansion of its online training platform which allows ACA to provide a variety of customized trainings for registered investment advisers across the industry.

News
  • Compliance

The Changing Landscape of Compliance Staffing

The staffing needs for financial services firms are constantly evolving. The ever-changing regulatory landscape combined with the increasing adoption of regulatory technology can make finding and retaining qualified staff with the required proficiencies a challenge for HR departments and recruiters.

Article
  • Compliance

2019 Investment Management Compliance Testing Survey

ACA Compliance Group and the Investment Adviser Association invite you to participate in the 2019 Investment Management Compliance Testing Survey. The survey is open to compliance professionals at SEC-registered investment advisers. The survey will remain open through Friday, May 31.

Survey
  • Compliance

12 Tips for Getting the Most Out of ACA’s Spring 2019 Compliance and Performance Conference

ACA’s Spring 2019 Compliance and Performance Conference is just around the corner and we want to make sure you have all the information you need to make the most of your time. Below are just a few ways to maximize your conference experience.

Article
  • Events

ACA Compliance Group Launches Consulting Services for Mutual Fund Board of Directors

ACA Compliance Group (“ACA”) has expanded its consulting services to support mutual fund boards and senior management with enhanced governance of critical issues, board oversight, and business judgement.

Press Release
  • Compliance

FinCEN Penalized First Peer-to-Peer Cryptocurrency Exchange

On April 18, the Financial Crimes Enforcement Network (FinCEN) announced that they have imposed their first-ever penalty on a peer-to-peer cryptocurrency exchange for violating AML regulations, amon

Compliance Alert
  • AML and Financial Crime

The FCA Business Plan 2019/20 and the Future of Financial Regulation in the UK

On 17 April, the FCA published its Business Plan for 2019/2020, setting out its key priorities and specific activities for the coming year. Read on for a summary of the areas of priority we believe will be of interest to firms in the wholesale arena, and a dissection of Mr Bailey’s vision.

Compliance Alert
  • Compliance

Summary of FINRA Regulatory Actions 2018

The total dollar amount of fines in 2018 that the Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division ordered against its member firms increased slightly to $74 million from $68 million in 2017. While the total dollar amount increased nearly nine percent, the total number of fines decreased to 209 in 2018, compared to 318 in 2017. Both the number and dollar amount of fines assessed by FINRA have fallen significantly since 2014, as the charts below show. In 2014, FINRA fined broker-dealers a record amount of nearly $129 million dollars, roughly 10 percent greater than the total dollar amount assessed in 2017 and 2018 combined.

Compliance Alert
  • Compliance