Are you prepared for the Senior Managers & Certification Regime (SM&CR)?
Are you prepared for the Senior Managers & Certification Regime (SM&CR)?
Blog: 6 Ways to Stay Ahead of Regulators with RegTech
Blog: Preparing for SEC Cyber Compliance – What You Need to Know
2019 Regulatory Filings Calendar
We provide compliance products and solutions to financial services firms. Our team includes former SEC, FINRA, FCA, NYSE, NFA, and state regulators, along with former senior compliance managers from prominent financial services firms.
We provide cybersecurity and technology risk assessments, data privacy compliance, vendor and M&A diligence services, network testing, and advisory services for companies of all sizes.
Our team — the largest group of GIPS® compliance professionals in the world solely dedicated to GIPS compliance verification and related services — provides GIPS compliance verification and consulting services to investment managers around the globe.
We provide investment management, data management, and regulatory technology software products and services to leading investment management firms.
Our team of AML and financial crime specialists works with banks and large institutions to provide advisory and technology services that help address financial crimes-related threats and regulatory concerns.
Our team hosts firms who undertake regulated activities in the EU who do not yet have their own license, including start-up and established investment managers, as well as distribution and advisory firms.
Our regulatory accountants solve the complex needs of firms managing or marketing funds in Europe, including Annex IV reporting, preparing ICAAPs, prudential capital management, management accounting, and payroll.
Our team provides a range of UK corporate and fund tax services, as well as UK personal tax services for financial services professionals, other high net worth individuals, and their families.
Our team provides a variety of educational opportunities to help you and your staff stay informed on regulatory initiatives, GIPS standards, cybersecurity, and industry topics.
ComplianceAlpha is ACA's secure, centralized platform for managing your firm's risk and compliance program. Modules include:
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