Tag: ACA Group

ACA Group has launched a new Market Abuse Risk Framework to help UK and European buy-side firms strengthen their surveillance and compliance programmes. The governance,...

The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...

A former analyst at a UK-based investment management firm has been convicted of insider dealing, underlining the Financial Conduct Authority’s (FCA) increased reliance on...

Regulatory change hits firms like a constant storm, demanding swift adaptation to a maze of evolving rules. Generative AI offers a lifeline, automating tracking...

Compliance often feels like playing catch-up, with companies racing to meet rules after they’ve been set, racking up costs along the way. Now, AI...

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.