Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Regulators continue to increase their focus on a firm’s capital monitoring and forecasting, and regulatory reporting processes. In turn, investment management and advisory organisations continue to seek expertise in regulatory oversight.
In addition, the Investment Firm Prudential Regime (IFPR) came into force for all UK MiFID investment firms on 1 January 2022. First developed by the European Union (EU) and subsequently refined by the FCA, the proposed new prudential rules introduce more complex and onerous capital, liquidity, reporting and governance requirements for affected firms.
ACA's experienced prudential team are on hand with a wide range of solutions designed to help make your regulatory reporting obligations as simplified and seamless as possible.
The Investment Firm Prudential Regime (IFPR) directly impacts any group that owns an FCA authorised firm that provides MiFID investment services and activities -
Download our checklist to find out top tips to make sure you have addressed your obligations.
The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.
The FCA recently released a Dear CEO letter interim update to reinforce their continued focus on protecting investors and customers from poor outcomes and upholding market integrity.
The FCA unveiled its Business Plan for 2024/25 providing a roadmap for its actions in support of its strategic objectives for the upcoming fiscal year.
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.