Insights
Surveillance Program Best Practices
Surveillance requirements are as varied as the firms which deploy these tools. Our Surveillance Program Gap Analysis Checklist helps compliance officers to work through their requirements.
- RegTech
- ComplianceAlpha
Bundled Research Payments – Is It Really New, or Just Déjà Vu?
The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.
- Compliance
- FCA
2024 Cybersecurity Benchmarking Survey Results
This year’s survey covered a wide range of topics and involved the participation of compliance professionals at 308 financial services firms of various sizes.
- Cybersecurity
ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
- ACA News
ACA Announces Expansion of the Executive Leadership Team with Key Appointments
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.
- ACA News
Common AML Schemes: Account Takeover
ATO schemes can be used to facilitate money laundering when attackers use stolen login credentials to transfer funds or make purchases without the account owner's knowledge or consent.
- AML and Financial Crime
2024 Investment Management Compliance Testing Survey Now Open
This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance
Highlights From the 2024 ACA Conference
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.
- Compliance
- RegTech
- Cybersecurity
- ESG
- Performance
- Managed Services
- SEC
Critical Vulnerability Detected in Palo Alto Networks' GlobalProtect Gateways
A popular firewall used in the financial industry is under attack due to a critital zero-day vulnerability. Firms that use Palo Alto Networks' firewall need to update their software to protect their systems.
- Cybersecurity
FCA Interim Update - Asset Management & Alternatives Supervisory Strategy
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.
- Compliance
- FCA
- ESG