ACA Spotlight Blog

ACA Spotlight Blog

Compliance, risk, and technology insights and alerts for financial services
 

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ACA's experienced compliance, risk, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog now consolidates all ACA compliance alerts, thought leadership articles, white papers, cybersecurity alerts, and results from ACA surveys to help you find the information you need more quickly and easily. 

For ACA compliance alerts prior to March 2019, see our News Archive.

Cybersecurity Considerations for Private Equity Firms
Thought Leadership
November 16, 2017

As we approach the end of 2017 and reflect on the past year, it’s hard to ignore the recent surge in cybercrime and the financial, operational, and reputational losses that breaches have caused portfolio companies and M&A targets.

Regulators Requesting More Complex Trading Data
Compliance Alert
November 13, 2017

ACA staff have observed an increase in the amount and depth of trading data being requested of investment advisers by regulators prior to exams.

ecomms monitoring a no-brainer for CCOs
Thought Leadership
November 9, 2017

In the five months since the SEC’s Office of Compliance Inspections and Examination (“OCIE”) issued request letters to registrants focused on advisers’ use of electronic communications, compliance officers have been reviewing their policies and procedures, determining how employees are

Technology Enhancements for Beneficial Ownership Implementation
Thought Leadership
November 9, 2017

In May 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued its final rule on beneficial ownership with respect to customer due diligence ("CDD") requirements.

Cybersecurity
Cyber Alert
October 30, 2017

In the past year, it’s become apparent that cyber breaches are on the rise, and they are crippling businesses in their wake.

Vulnerability Management Program
Cyber Alert
October 27, 2017

This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.

cyber
Cyber Alert
October 23, 2017

In the wake of the recent Equifax breach that potentially affected the personal data of more than 143 million Americans, Equifax is pointing the f

Regulatory Cybersecurity for RIAs
Cyber Alert
October 18, 2017

I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice. Before joining ACA, I served as Associate Director and Head of the National Technology Controls Examination Program with the U.S.

cyber
Cyber Alert
October 17, 2017

Human error remains a significant security threat to businesses of all sizes.

cyber awareness
Cyber Alert
October 11, 2017

An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.

Annual GIPS Standards Conference
Thought Leadership
October 9, 2017

The 21st Annual GIPS Standards Conference was held in San Diego on September 14-15 with over 300 attendees. A number of topics were covered, including important aspects of the proposed 2020 GIPS Standards updates. 

Cybersecurity Awareness month
Cyber Alert
October 2, 2017

Cyber threats continue to increase year over year and attack techniques are more sophisticated than ever.