Tag: aca

Compliance teams are under mounting pressure to deliver accurate regulatory filings against tight deadlines, even as data volumes swell across fragmented systems. According to ACA...

ACA's outsourced chief compliance officer (OCCO) service is being positioned as a way for registered investment advisers (RIAs) to close compliance gaps before they...

The Financial Conduct Authority (FCA) has confirmed the biggest shake-up of the UK MiFIR transaction reporting regime since Brexit, publishing Policy Statement 26/15 to...

Financial regulators across the US, UK and UAE are converging on a single message: firms do not need to wait for AI-specific rules before...

The rapid adoption of generative and agentic AI is forcing financial services firms to reconsider whether traditional information barriers remain effective in a world...

The SEC's evolving regulatory agenda is forcing private fund managers to confront hard questions on AI governance, cybersecurity and the rapid retailization of private...

With an estimated 200+ regulatory updates each day, it is easy to understand why compliance teams often feel the pressure of keeping pace with...

Risk management is one of the core foundations of a firm’s compliance workflow. When implemented effectively, risk management helps ensure compliance processes are not...

Financial services firms are moving quickly to adopt AI note-taker tools because they make meetings easier to document and knowledge easier to share. But...

Investment managers are entering 2025 facing a more demanding compliance environment, shaped by heightened regulatory scrutiny and rising expectations from institutional clients. According to...