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

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NorthPoint Case Study
November 15, 2018

This case study details how ACA's NorthPoint Data Management Solutions helped a large OCIO manager solve challenges related to the Form ADV requirement to provide derivatives exposure for investments made via Separately Managed Accounts (SMAs) based on day-over-day data.

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.

October 11, 2018

Chief compliance officers (CCOs) and risk and compliance teams know they need regulatory technology to meet ever-increasing regulatory obligations as well as establish best practices for their firm’s governance, risk, and compliance (GRC) program that reduce operational risk and increase operational efficiencies. While the value added by a RegTech solution is clear, understanding the full scope of a GRC technology implementation can be a significant challenge. This blog post explains the four steps you can take to enhance the effectiveness of your firm’s GRC capabilities using technology.

September 26, 2018

This case study explains how a large, complex fund allocator implemented ACA's NorthPoint IMS to address challenges managing their fund investments due to operational inefficiencies and decentralized workflows and data.

August 21, 2018

This case study details how a global asset management firm with more than $100 billion in assets under management (AUM) across multiple geographic regions implemented ACA's ComplianceAlpha Marketing Review Solution (MRS) to streamline marketing reviews and meet regulatory requirements.

August 6, 2018

ACA Technology's Burt Esrig recently shared his expertise on regulatory technology with Wells Fargo Prime Investment Services for their July 2018 Business Consulting and Regulatory Updates.

August 2, 2018

This case study explains how a growing fixed income asset management firm implemented ACA's NorthPoint IMS to address business challenges due to a lack of integrated portfolio compliance and straight through processing in their trading workflow.

June 20, 2018

This case study details how a large OCIO management firm and a large managed account platform firm, each with a large number of clients that invests in hedge funds through separately managed accounts (SMA), implemented ACA's NorthPoint Data Management Solutions Data Warehouse and Security Master modules to address the need for drill-through transparency into the constiutent investments of these funds.

April 25, 2018

A growing multi-affiliate private equity fund manager with approximately $1 billion assets under management was manually tracking its compliance tasks and reviewing marketing materials through email.

April 6, 2018

This case study explains how ACA's NorthPoint Platform helped a growing investment management firm with approximately $19 billion in assets under management solve business challenges related to managing mulitple disparate software systems and home-grown applications, as well as manual operational processes.

March 16, 2018

This case study explains how an investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels implemented ACA's ComplianceAlpha® to address challenges with their marketing review processes.

February 27, 2018

In data management, Knowledge Date — also called “As At” date functionality — refers to the ability to store the same data point based on the information available at a certain point in time.

February 14, 2018

This case study details how dual-entity private equity and hedge fund manager with approximately $1 billion AUM implemented ACA's ComplianceAlpha® to build a universal risk assessment and compliance program testing regime under time and resource constraints.

February 6, 2018

We are pleased to announce that ACA Technology's Cristina Ghimusian and Ujjwala Jain have been shortlisted for WatersTechnology's inaugural Women in Technology a