Tag: ACA Group

Global regulations form a patchwork quilt, each jurisdiction stitching its own rules with distinct threads of law, culture, and intent. This fragmentation burdens firms...

ACA Group, a leading GRC advisor in financial services, has acquired Global Trading Analytics, an independent provider of TCA services, in a move to...

Investment advisers with a 31 December fiscal year-end are in the midst of updating their Form ADV, with a deadline set for 31 March 2025.

For RIAs and ERAs, the dawn of a new year presents not just opportunities but significant regulatory responsibilities. With the introduction of FinCEN's AML...

In the complex arena of financial markets, where conflicts of interest and misconduct like insider trading are ever-present threats, the importance of rigorous compliance cannot be overstated.

ACA Group has acquired FINOP Consulting a firm specializing in financial and operations principal outsourcing for broker-dealers.

Financial services companies are rushing to integrate artificial intelligence (AI) into their operations, but many are doing so without adequate governance frameworks or testing procedures.

ACA Group, a leader in governance, risk, and compliance (GRC) solutions within the financial services sector, has recently taken a significant step to enhance its international reach by acquiring Effecta Compliance Group.

The debate surrounding the acronym ESG has evolved from divisive to disappointing within the financial services sector.

Understanding the mindset of intermediaries is paramount for asset managers aiming to engage and collaborate with broker-dealers effectively. It's essential to grasp the key drivers behind their decision-making processes and identify critical contacts within their home offices. Such insights can highlight potential leverage points even before partnerships are forged.