ACA Spotlight Blog

GRC Spotlight Blog

Governance, risk, and technology insights from ACA's experienced team

Categories
SFC's FMCC Five Important Next Steps
December 18, 2018

The deadline of November 18, 2018, has now passed for the SFC FMCC. As with many regulatory change projects, implementation is no longer “the end” of the road, rather, it is a beginning of sorts. And so it is for Hong Kong’s fund management community and the new code of conduct. With the regulation now in force, there are a number of activities firms should undertake to ensure ongoing compliance with regulatory expectations.

December 14, 2018

While the financial institutions have the desire to improve the data quality and availability, data governance is often driven by external regulations to implement a program to ensure requirements outlined in DFS Part 504 regulation are met.

Third-Party Risk Management: DIY
December 14, 2018

Performing third-party risk management (TPRM) on vendors is a complex, high-stakes process. So how do you decide what is the right solution for your company? Here are 5 key differences to help you determine whether process automation or process outsourcing is best for your company.

Trader looking at screen
December 13, 2018

The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at an ACA Compliance Group (Europe) briefing held in London in mid-November.

December 12, 2018

Regulatory mandates and pressure from investors are driving firms to implement new security policies which can be challenging for employees. Here's a set of key guidelines to minimize the impact and maximize the value of implementations for your employees.

How RegTech Helps Compliance Teams
December 5, 2018

Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.

Checklist for CCOs
November 29, 2018

With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.

Staff Support Handshake
November 28, 2018

The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis. 

Brexit: the impact on your marketing and distribution activities
November 21, 2018

With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions.  With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.

November 16, 2018

Did you miss our California Consumer Privacy Act webcast? ACA Aponix's Alex Scheinman shares what you need to know about the regulation and how you can prepare for the compliance deadline.

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.

ACA Aponix taking control of vendor risk
November 9, 2018

ACA's Jeff Rowley and Sara Laverick share a 6-step approach to stay on top of the vendors your company uses, and to ensure that their cyber and technology risks are accounted for and under control.

November 7, 2018

ACA’s Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.

November 5, 2018

As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.