Tag: ACA
How ACA’s ComplianceAlpha RegTech platform ensures total communication oversight
As the regulatory landscape tightens its grip on digital communications, the imperative for exhaustive capture and archival of electronic dialogues grows increasingly critical.
Enhancing regulatory compliance: The role of AI in modern surveillance systems
In the dynamic realm of regulatory compliance, traditional surveillance techniques are no longer sufficient. As regulatory frameworks evolve, adopting cutting-edge technologies is crucial for firms aiming to stay ahead.
Navigating cybersecurity and AML: Strategies for financial firms
Money laundering and financial crimes pose large risks to financial firms, both from a reputational and regulatory perspective. These criminal activities can manifest in...
The essential guide to building a robust cybersecurity oversight program
In the rapidly evolving digital landscape, traditional methods of portfolio oversight are increasingly inadequate against the mounting cyber threats. Recognising this shift, a strategic,...
Apex Group and ACA team up to boost global client services...
Apex Group, a prominent financial services business, and ACA Group (ACA), a leader in governance, risk, and compliance advisory in financial services, have joined forces to expand their service offerings through a strategic partnership.
FCA’s Market Watch 79 highlights data and algorithmic issues in surveillance
The Financial Conduct Authority (FCA) has reminded firms about the significance of data integrity and algorithmic governance in market abuse surveillance tools, as outlined...
Navigating the new climate disclosure rule: A guide for SEC registrants
On March 6, 2024, the Securities and Exchange Commission (SEC) announced the completion of the highly anticipated climate disclosure rule.
New SEC rules could change the game for hedge funds and...
The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.
Combating business email compromise: Strategies for financial firms
In the ever-evolving landscape of financial crimes, firms across the globe are grappling with the challenge of safeguarding their operations and reputation. Among the myriad of schemes that threaten the integrity of financial institutions, Business Email Compromise (BEC) stands out for its cunning simplicity and potentially devastating impact.
Navigating new SEC rules: A guide for private fund advisers
The U.S. Securities and Exchange Commission (SEC) introduced a significant regulatory update on August 24, 2023, impacting private fund advisers through the adoption of the Private Fund Adviser Rules. This regulatory shift comprises several key components aimed at enhancing transparency and safeguarding investor interests. Among these, the Adviser-led Secondaries Rule and the Annual Fund Audits Rule stand out for their direct impact on fund management practices, accompanied by the amendment to the compliance review documentation requirements.
