ACA ramps up regulatory support for wealth firms
ACA Group, a provider of governance, risk and compliance solutions, has unveiled a dedicated practice group for wealth managers.
Source: investmentnews.com
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Compliance specialists ACA and Foreside complete merger
US GRC solutions provider ACA Group and peer Foreside merge to become one of the largest global compliance software firms under Genstar.
Source: bobsguide.com
Foreside Financial buys Pa.-based financial compliance business
Foreside Financial, based in Portland, acquired a Pennsylvania firm that specializes in chief compliance officer services for the financial industry.
Source: mainebiz.biz
SEC fines CMG Capital for backtested data in ads
The firm was also cited for not preserving certain advertisements
Source: financial-planning.com
FINRA award in raiding case might not deter | Financial Planning
The hefty FINRA award might not deter firms from poaching difficult-to-find talent.
Source: financial-planning.com