compliance

Insights and guidance from ACA's team of experienced compliance and technology professionals.

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The Impact of Fee Compression on Risk Management
March 13, 2019

The bank and non-bank asset management industry is struggling with fee compression which has sparked a series of layoffs that you may have read about in recent news.

December 20, 2018

The EU Securitisation Regulation (2017/2402) comes into force on 1 January 2019 and applies to securitisations issued on or after this date.

US Turns Up AML Compliance Heat on RIAs
May 2, 2018

On May 11, 2018, broker-dealers and other financial institutions currently covered by the US Anti-Money Laundering (AML) regime will need to become compliant with FinCEN’s new customer due diligence (CDD) requirements.

November 20, 2017

Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are available to assist with any short-term staffing needs.