ACA Spotlight Blog

ACA Spotlight Blog

Compliance, risk, and technology insights and alerts

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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.

AML
Thought Leadership
December 5, 2017

Trying to get ahead but feel like you’re falling behind? The “most wonderful time of the year” can quickly turn into the most stressful time of the year when you’re caught between closing out year-end projects while strategizing and planning for the New Year.

CCO checklist
Thought Leadership
December 4, 2017

With only 19 business days left in the year, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong.

DFS 23 NYCRR 500
Compliance Alert
November 30, 2017

March 1, 2018 is the next compliance deadline for the New York State Department of Financial Services' ("DFS") New York State Law 23 NYCRR 500 Cybersecurity Requirements for Financial Services Companies (“23 NYCRR 500”).

compliance projects
Thought Leadership
November 20, 2017

Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are available to assist with any short-term staffing needs. 

Performance Update
Thought Leadership
November 16, 2017

For roughly 25 years, institutional investors have increasingly required asset managers with whom they invest to claim compliance with the GIPS standards. This requirement is largely required of traditional fixed income and equity strategies and applied to asset managers that work predominantly with institutional investors. Early on, most private wealth managers were exempt from the requirement, and thus their rates of compliance paled in comparison to those of traditional institutional managers.

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