🚨 The 2024 Investment Management Compliance Testing (IMCT) Survey Results are in! Our latest survey in partnership with the Investment Adviser Association and Yuter Compliance Consulting, shows a shift in compliance priorities with off-channel communications overtaking the Marketing Rule as the top compliance concern. 83% of respondents reporting that they are undergoing or have undergone SEC exams in the last 5 years. Marketing and AI closely follow as compliance team's focuses, reflecting the industry's evolving challenges. Our latest press release shares how firms are navigating these challenges and enhancing their compliance programs. Read now and download the full report: https://hubs.ly/Q02GJQrl0 #IMCTsurvey #complianceinsights #complianceprograms
ACA Group
Business Consulting and Services
New York, NY 26,455 followers
ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services.
About us
ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower clients to reimagine GRC and launch, grow, and protect their business. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® regulatory technology platform with the specialized expertise of former regulators and practitioners and a deep understanding of the global regulatory landscape. For more information, please visit www.acaglobal.com
- Website
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https://www.acaglobal.com
External link for ACA Group
- Industry
- Business Consulting and Services
- Company size
- 1,001-5,000 employees
- Headquarters
- New York, NY
- Type
- Privately Held
- Founded
- 2002
- Specialties
- Investment Adviser, Private Fund, Broker-Dealer, Investment Company, NFA Member Services, AIFMD, Cybersecurity, Regulatory Compliance, AML, GDPR, Risk, Performance Services, Financial and Regulatory Reporting, Regulatory Technology, RegTech, Trade Surveillance, Employee Compliance, ESG, GIPS Standards Verification and Consulting, GRC, regulatory compliance, sec, finra, Financial Conduct Authority, FCA, Surveillance, Compliance Programs, and FCA Authorization
Locations
Employees at ACA Group
Updates
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Note for advisers to hedge funds with net asset values of $500 million or more: If the CrowdStrike outage has resulted in a significant disruption or degradation to the adviser's ability to conduct investment, trading, valuation, reporting, or risk management functions, or has interfered with the adviser's ability to operate the fund in accordance with Federal securities laws and regulations, the adviser must make a Section 5 Filing of Form PF within 72 hours of the occurrence of the event. This determination is highly specific to the facts and circumstances of the event, so you may wish to call your consultant or counsel for a discussion. If necessary, the filing of Section 5 would be required by Monday, July 22, 2024. Click here to sign up to ensure you receive our timely alerts and insights directly to your inbox: https://hubs.ly/Q02Hjfvt0 #PrivateFunds #FormPF #ComplianceAlert #ACAInsights
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⏰ Last call to vote! It's the final day of nominations for the Private Equity Wire US Credit Awards, and we need your support! We're honored to be nominated in two categories: 🏆 Compliance Service of the Year - Overall 🏆 Technology Innovation of the Year Your vote can make a difference! Click the link below and cast your vote for ACA today: https://hubs.ly/Q02H9Hns0 #GRC #privateequity #PEWcreditawards
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In March, the SEC’s Division of Examinations (EXAMS) announced a plan to evaluate firms' readiness for T+1 settlement compliance, focusing on amendments to Rule 15c6-1 and Rule 204-2. We have reason to believe the SEC has started its targeted exams of investment advisers to assess compliance with new recordkeeping requirements and broker-dealers’ adherence to Rule 15c6-1. Make sure your firm is prepared by reviewing the sample information EXAMS may request, including policies, procedures, and records related to the T+1 transition. 🔗 For more details, click here: https://hubs.ly/Q02G-X520 #compliancealert #brokerdealers #investmentadvisers #regulatoryexams #ACAinisghts
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🌍 Our team had a fantastic time connecting with the ESG community yesterday at AIMA - The Alternative Investment Management Association's Putting ESG into Practice event! We are incredibly proud of Estelle Rocca-Serra, who delivered an insightful presentation to a packed room. Estelle reviewed the current state of SFDR and discussed potential changes on the horizon, providing attendees with invaluable information on: ✔️ Recommendations for a new categorisation system ✔️ A clearer definition for sustainable investments ✔️ Mandatory PAI disclosures at the product level Her session offered practical insights that will undoubtedly help enhance ESG strategies for many firms. Want to learn more about our ESG advisory and analytics offerings? Click here: https://hubs.ly/Q02GXnfF0 #ESG #SFDR #Compliance
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Navigating the complex landscape of AML schemes requires a deep understanding of both the threats and the defenses. Our experts highlight how cyber attacks can be used to launder money and how firms can secure themselves against these crimes. Protect your organization from potential risks with actionable strategies and expert guidance. Learn more: https://hubs.ly/Q02GFlzZ0 #AML #AMLcompliance #cybersecurity #ACAinsights
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A critical vulnerability has been discovered in OpenSSH affecting versions 8.7p1 and 8.8p1. This flaw can allow attackers to execute malicious code, posing significant security risks. Immediate Action Required: ⚠️ Update all affected systems with the latest patches ⚠️ Set the 'LoginGraceTime' parameter to 0 to mitigate risks ⚠️ Enhance monitoring to detect unusual activities For more information on how to take proactive steps to help protect your organization, read our alert here: https://hubs.ly/Q02GnTLg0 #cybersecurity #infosec #datasecurity #ACAinsights
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💡 How does AI and generative AI impact data governance? Carlo di Florio, our Global Advisory Leader shared his thoughts for Nasdaq TradeTalks, alongside Chinmoy Bhatiya, of Capco, Ben Turner of VERITUITY, and Jim Lewis of STP Investment Services. Hear more about the latest AI and privacy regulatory updates, the exponential growth in data volumes, and how to navigate operational hindrances while maintaining robust data governance. Read our latest blog on the topics covered and listen in on the conversation right from here: https://hubs.ly/Q02Gh8KS0 #AI #datagovernance #riskmanagement #ACAinsights
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We are proud to have Estelle Rocca-Serra representing ACA at the AIMA - The Alternative Investment Management Association's Putting ESG into Practice event! In her breakout session, she will review the current state of SFDR and discuss potential changes on the horizon. Attendees that join her session will learn about recommended changes to SFDR, including: ✔️ recommendations for a new categorisation system ✔️ a clearer definition for sustainable investments ✔️ mandatory PAI disclosures at product level Join her for an informative session that will enhance your ESG strategies. Connect with our team to learn about our ESG advisory and analytics solutions: https://hubs.ly/Q02GdzQP0 #ESG #SFDR #AIMA #ESGcompliance
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🔍 Curious about the optimal path for distributing your mutual fund? Our latest blog post delves into the critical decision of choosing between a proprietary fund trust and a shared trust. Our blog post, "The Investment Manager’s Role in Mutual Fund Distribution," outlines the pros and cons of each option. Dive deeper with our full whitepaper to explore distribution channels, broker-dealer roles, and regulatory considerations. Learn more: https://hubs.ly/Q02G2KWl0 #fundditribution #mutualfunds #investmentmanagement #ACAinisghts