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.

As Regulators Catch Up with the Crypto Craze
Thought Leadership
May 22, 2018

Cryptocurrency and its applications within the financial industry are now mainstream news, with new instruments, products, and price fluctuations capturing headlines daily.

GIPS Standards Q&A
Thought Leadership
May 17, 2018

The GIPS Standards Technical Committee recently released three new GIPS Standards Q&A’s that are all effective as of April 18, 2018.

US Turns Up AML Compliance Heat on RIAs
Thought Leadership
May 2, 2018

On May 11, 2018, broker-dealers and other financial institutions currently covered by the US Anti-Money Laundering (AML) regime will need to become compliant with FinCEN’s new customer due diligence (CDD) requirements.

Form PF
Thought Leadership
May 1, 2018

Hedge funds and hedge fund advisers that need to file Form PF on a quarterly basis may already know the challenges they face. This blog post summarizes what additional information you need as a quarterly filer to help you prepare for the next submission deadline.

third-party performance attestation
Thought Leadership
April 26, 2018

Consultant database reporting is an important business consideration for many investment management firms. The databases serve as a gateway for investment managers to reach institutional and retail assets alike. A recent trend in the industry is that of increased due diligence. The top databases are increasingly requiring firms to comply with the GIPS standards or receive an independent third-party certification of the track record.

ComplianceAlpha case study Private Equity Fund Manager
Case Study
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.

Lessons Learned from Recent Cyber Incidents
Thought Leadership
April 23, 2018

Cyber-attacks continue to increase as new threats emerge. In the first half of 2018, several major breaches and incidents occurred at companies including Facebook, MyFitnessPal (Under Armour), and Panera Bread, to name a few.

New prudential regime for Exempt CAD
Thought Leadership
April 23, 2018

Likely to come into force by the end of 2019, the prudential framework will hit some firms very hard, requiring them to maintain significantly greater levels of capital. We are running a series of articles assessing the material areas of change imposed by these new rules. In this first article, we examine the regime’s impact on the capital and liquidity requirements of Exempt-CAD firms.

ACA's Spring 2018 Conference
Thought Leadership
April 11, 2018

ACA’s Spring 2018 Compliance and Performance Conference will include for the fourth time a performance-focused track specifically on issues related to performance measurement and the GIPS standards. Throughout the year, you have several performance conferences to choose from, so what makes ACA better than the others? Well, let us tell you…

Third-Party Performance
Thought Leadership
April 6, 2018

More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues.

case study northpoint platform
Case Study
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.

Digital Assets
Compliance Alert
April 2, 2018

During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This blog post is a summary of our article detailing the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.