Are you meeting regulatory obligations and adhering to best market practice? Periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement. Recent compliance reviews carried out by ACA Compliance Group on financial markets firms identified, on average, 24 different regulatory failings or weaknesses across a firm's governance and control environment, including policies and procedures.
ACA's suite of Compliance Review Services lets you know if your firm’s arrangements are operating as expected and are meeting regulatory requirements and best practices. When we identify weaknesses or failings, our compliance review will make clear where deficiencies exist and what needs to be done to remediate them.