Articles from ACA Group

ACA Group (ACA), a leading governance, risk, and compliance (GRC) advisor in financial services, today announced that its ACA Foreside division has surpassed $500 billion in exchange-traded fund (ETF) assets serviced. Known for its client-focused, hands-on approach, ACA Foreside, ACA’s distribution division, continues to support some of the industry’s most innovative product launches, including first-to-market structures such as leveraged ETFs, mutual fund-to-ETF conversions, spot Bitcoin exchange-traded products (ETPs), and digital and crypto ETFs.

Artificial Intelligence (AI) has ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing (IMCT) Survey, released today by Investment Adviser Association, ACA Group, and Yuter Compliance Consulting.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, has acquired Global Trading Analytics (GTA), an independent provider of transaction cost analysis (TCA) services. The acquisition reinforces ACA’s commitment to enhancing its regulatory technology capabilities and addressing the evolving compliance needs of its global client base.

ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced the launch of the next generation of ACA Vantage for ESG™, its advanced ESG data management and risk monitoring solution. This enhanced platform is designed to collect ESG data, monitor, report, and enable streamlined data operations. This move introduces a comprehensive update designed to address the increasingly fragmented landscape of ESG software.

ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired FINOP Consulting, LLC, a financial and operations principal outsourcing firm for broker-dealers.

Despite eagerness to leverage artificial intelligence, financial services firms lack formal artificial intelligence (AI) governance frameworks, testing protocols, and third-party oversight, according to the 2024 AI Benchmarking Survey, a joint project of ACA Group’s ACA Aponix and the National Society of Compliance Professionals (NSCP), released today at the NSCP National Conference.

ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired the Effecta Compliance Group (Effecta), a regulatory consultancy practice that supports financial services firms throughout the United Kingdom (UK) and the United Arab Emirates (UAE).

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in the financial services industry, today unveiled a significant upgrade to its eComms Technology Solutions suite within the ComplianceAlpha® platform. This enhancement introduces advanced archive capabilities designed to offer greater efficiency and control to ACA Group’s clients.

ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, announced the acquisition of Encore Compliance (Encore), a leader in AI compliance software solutions. This acquisition enhances ACA’s Managed Services suite of people, processes, and technology, adding AI-enabled surveillance for expert network chaperoning and research calls to help asset managers and investment advisors comply with SEC, FCA, and ESMA regulations. Additionally, this technology can enable research teams to create their own expert libraries and identify potential risks in other voice communications subject to heightened regulatory oversight, aimed to strengthen overall compliance controls.

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.

ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced its intent to acquire the broker-dealer distribution business from UMB Fund Services, a subsidiary of UMB Financial Corporation (Nasdaq: UMBF) (UMB). The transaction is expected to close in the fourth quarter of 2024.

Nearly 40% of compliance professionals from asset management, investment adviser, and private markets firms have yet to evaluate Artificial Intelligence (AI) as a cybersecurity risk, while 44% have concerns about how the SEC’s new cybersecurity rules will be enforced, according to the 2024 Cybersecurity Benchmarking Survey, a joint project of ACA Group and the National Society of Compliance Professionals (NSCP).

ACA Group, a leading provider of governance, risk, and compliance (GRC) solutions, is pleased to announce the launch of a new practice group specifically tailored to the needs of wealth management firms. ACA Wealth stands as a testament to the firm’s commitment to supporting wealth managers. ACA Wealth represents the culmination of ACA's longstanding dedication to providing wealth managers with comprehensive solutions to navigate regulatory obligations and challenges while safeguarding against reputational and financial risks.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted U.S. Securities and Exchange Commission’s Private Fund Adviser Rules. When combined with ACA’s existing blend of regulatory advisory, investment performance, and technology services, this new offering creates the first end-to-end solution to help firms holistically address all elements of the new rules.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, has enhanced its ability to enable institutions to thoroughly capture mobile device traffic through a partnership with LeapXpert. The partnership delivers expanded enhancements to archival, workflow, and surveillance features across WhatsApp, iMessage, SMS, WeChat, Telegram, LINE, and Signal. The advanced mobile messaging communications capture capabilities provide compliance professionals with the necessary oversight to avoid fines and penalties tied to global regulations.

For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today announced the appointment of Patrick Olson as Chief Executive Officer and member of the Board of Directors. Olson succeeds former CEO Shvetank Shah, who had led the company since January 2020, and will serve as a Senior Advisor.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today bolstered its product line with the launch of ACA Vantage for Cyber, to help private markets (“PM,” i.e., private equity, hedge funds, and venture capital) firms discover, prevent, and remediate critical cyber vulnerabilities across their portfolio. This unique offering is powered by ACA Aponix®, ACA’s cybersecurity division. The offering combines an executive advisory service with ACA’s technology, ComplianceAlpha®, to help operating partners and sponsors at PM firms globally to build and operate a formal program of cybersecurity portfolio oversight and conduct an ongoing, effective assessment of their portfolio companies’ cyber posture over the entire investment lifecycle.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today announced the launch of ACA Signature, a scalable solution that combines compliance advisory services, innovative regulatory technology and managed services, to meet financial firms’ unique compliance needs. Designed by former regulators and compliance professionals, ACA Signature provides clients with the technical expertise necessary to protect their business in today’s evolving risk and regulatory environment.

ACA Group, the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired Advanced Regulatory Compliance, LLC (ARC), a provider of an array of regulatory compliance solutions serving the financial services community.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services announces today that it has adopted the voluntary CFA Institute Diversity, Equity and Inclusion Code for Investment Professionals in the United States and Canada (“DEI Code”). Launched in February 2022, the DEI Code provides investment industry organizations with an action-oriented and principles-based framework through which to drive measurable and meaningful change concerning diversity, equity, and inclusion within organizations.

ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced that their ESG Data & Analytics solution has certified an exchange-traded fund (ETF) as carbon neutral under its plant-based innovation certification.

ACA Group, the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired Compliance Resource Partners, Inc. (CRP), a comprehensive provider of regulatory compliance serving the financial services community.

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today announced that it has added a host of new capabilities to ComplianceAlpha®, the firm’s integrated RegTech solutions platform. These latest additions are designed to better support the surveillance of and adherence to policies related to electronic communications (eComms).

ACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today announced that it has acquired Ethos ESG (Ethos), a provider of environmental, social, and governance (ESG) ratings data and software for financial advisors, asset managers, institutions, and investors.

ACA Group, the leading global provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has launched a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.

ACA Group, the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired Focus 1 Associates, a primary provider of regulatory compliance serving wealth management, private equity, hedge fund, and diversified financial services firms.