Spotlight Blog

Insights, news, and guidance from ACA's compliance and technology professionals

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ACA Aponix taking control of vendor risk
November 9, 2018

ACA's Jeff Rowley and Sara Laverick share a 6-step approach to stay on top of the vendors your company uses, and to ensure that their cyber and technology risks are accounted for and under control.

November 7, 2018

ACA’s Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.

November 5, 2018

As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.

November 2, 2018

Did you miss our vendor risk management webcast? ACA Aponix's Marc Lotti shares tips from the session for a team approach to vendor risk management.

November 1, 2018

The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.

November 1, 2018

This case study explains how a private equity firm utilized ACA's M&A diligence and advisory services to determine the security of their target's integrated platform and necessary investment in technology, processes, and personnel to support their investment thesis.

October 31, 2018

ACA Compliance Group's 2018 Fall Compliance Conference was held from October 3rd through 5th at the Hyatt Regency Resort Resort at Gainey Ranch in Scottsdale, Arizona.

October 31, 2018

As year-end nears, compliance teams are beginning to plan for 2019. To assist with the annual budgeting process, ACA has compiled the following information to help firms stretch limited resources and keep pace with the regulatory developments shaping next year’s compliance efforts.

October 30, 2018

The recent increase in high-profile cyber incidents, such as the September 2018 Facebook breach, have put millions of people around the world at risk for identity theft and other cyber-crimes. This blog post contains tips and information you can share with your family and friends about staying safe online.

October 29, 2018

The UK’s Chancellor of the Exchequer, Philip Hammond, has delivered his 2018 Budget. As the Chancellor previously moved away from separate Autumn and Spring budgets, this was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.

There are, however, a few important points for wholesale financial services firms to note.

October 26, 2018

The popularity and worldwide adoption of the the Global Investment Performance Standards (GIPS®) by investment management firms is largely due to demand by asset owners.

October 26, 2018

The US Office of the Comptroller of the Currency (OCC) has indicated that it will be focusing on the effectiveness of anti-money laundering (AML) systems and controls after including the topic on its list of FY 2019 annual priorities. For OCC-regulated banks, this means exams will concentrate on how up-to-date AML and Bank Secrecy Act (BSA) programs are with evolving threats and new rules.

October 24, 2018

In early 2017, the SEC approved rule-change proposals establishing continued listing standards for passively and actively managed exchange-traded products. More specifically, the rules require ETP issuers and managers to adopt new monitoring and oversight protocols to ensure continued compliance with the applicable listing standards. In the event an ETP falls out of compliance with the standards, the Manager must promptly notify the appropriate Exchange. 

October 23, 2018

Our homes are becoming increasingly connected to the outside world through "smart" devices, which work together over your Wi-Fi network to make your home more comfortable, safe, and convenient. With all of this convenience comes a great deal of risk. Here are tips for securing your smart devices.