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.
ACA's Patrick Conroy recently shared his insights on the benefits of regulatory technology (RegTech) with FT Adviser.
Robotic Process Automation (RPA) refers to the use of software to perform repetitive, routine tasks that are considered monotonous and uninteresting to humans.
In its simplest definition, RPA is:
A cyber-attack can happen at any time, often when we least expect it. Many of us wouldn't even think of the possibility of being hacked during something as routine as our morning commute. However, the reality is that many of us use electronic devices every day, all day, that can become targets for cyber crime. The good news is we can prevent these attacks. This blog post discusses how.
On October 8, 2019, FINRA released a new Reg BI and Form CRS Checklist to help firms determine whether their supervisory systems are in compliance with Regulation Best Interest and the Form CRS Relationship Summary.
Learn more about the California Consumer Privacy Act (CCPA) amendments signed into law October 11, 2019. The CCPA, with the accepted amendments, will go into effect on January 1, 2020.
Despite being pleased with progress so far around Research Unbundling, the FCA says it's a work in progress. The regulator will conduct another review in 18-24 months. What must firms consider to ensure their approach to research payments meets regulatory expectations?
New York State Insurance Fund released an RFP last week seeking managers for up to $1 billion to be distributed across high yield corporate bonds, bank loans, CLOs, or some combination of all three asset classes.
The Institute of Internal Auditors (IIA) published a new position paper on September 19, 2019 about the importance of an Internal Audit Charter and how it enhances the effectiveness of the Internal Audit function.
On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.
We’re excited to announce the launch of ComplianceAlpha®2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.
In 2014, the ARC was created to provide a simple way for CCOs to outsource the exhaustive and time-consuming task of email communications reviews. Today, the ARC is a dedicated knowledge center that provides efficient, scalable, and cost-effective compliance support to thousands of firms with over 10 established services as well as client tailored, bespoke solutions. Learn more about how the ARC has evolved and why managed services are the wave of the future for compliance.
Breaches and cyber incidents occur when employees are not fully trained on how to identify cyber issues, policies are not being followed, and third-party systems are not fully vetted or secured.
Sign up today for ACA news, alerts, and events.