Spotlight Blog

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

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October 30, 2018

The recent increase in high-profile cyber incidents, such as the September 2018 Facebook breach, have put millions of people around the world at risk for identity theft and other cyber-crimes. This blog post contains tips and information you can share with your family and friends about staying safe online.

October 29, 2018

The UK’s Chancellor of the Exchequer has delivered his 2018 Budget. This was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.

October 26, 2018

The popularity and worldwide adoption of the the Global Investment Performance Standards (GIPS®) by investment management firms is largely due to demand by asset owners.

October 26, 2018

The US Office of the Comptroller of the Currency (OCC) has indicated that it will be focusing on the effectiveness of anti-money laundering (AML) systems and controls after including the topic on its list of FY 2019 annual priorities. For OCC-regulated banks, this means exams will concentrate on how up-to-date AML and Bank Secrecy Act (BSA) programs are with evolving threats and new rules.

October 24, 2018

In early 2017, the SEC approved rule-change proposals establishing continued listing standards for passively and actively managed exchange-traded products. More specifically, the rules require ETP issuers and managers to adopt new monitoring and oversight protocols to ensure continued compliance with the applicable listing standards. In the event an ETP falls out of compliance with the standards, the Manager must promptly notify the appropriate Exchange. 

October 23, 2018

Our homes are becoming increasingly connected to the outside world through "smart" devices, which work together over your Wi-Fi network to make your home more comfortable, safe, and convenient. With all of this convenience comes a great deal of risk. Here are tips for securing your smart devices.

October 17, 2018

The more information you allow your smartphone apps to share, the easier it will be for hackers to steal this information and use it for malicious purposes. This post discusses best practices for securing your mobile device and the apps you install.

October 16, 2018

The release of the Exposure Draft of the 2020 Global Investment Performance Standards (GIPS®) in August has forced many firms to assess how the new requirements will impact their business.

October 11, 2018

The UK’s Financial Conduct Authority (FCA) outlined a number of observations relating to market abuse surveillance. These should serve as a reminder and encourage investment management firms to review their existing policies, systems and controls in this area. But what does this guidance say and how should firms best take heed?  

October 11, 2018

On November 17, 2018, this new set of rules will come into force, bringing additional governance, operational, and disclosure requirements. As the FMCC countdown clock ticks ever closer to the deadline, these are the key compliance components that fund management firms should have in place before impact day.

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.

October 9, 2018

In the wake of the recent Facebook breach and other high-profile cyber incidents, cybersecurity experts are predicting that we may see aftershocks and secondary breaches for many years to come. Here are some ways you can control the amount of personal information about you that is available online.

October 3, 2018

October is National Cyber Security Awareness Month. Our 2018 theme is Online Safety for Children. Check out our resources for parents and caregivers on how to keep kids ages 3-18 safe online.

September 26, 2018

This case study explains how a global private equity fund manager utilized ACA's vendor management outsourcing service to reduce vendor management costs by 67.5% and decrease the time spent performing diligence from 12 hours to 30 minutes per vendor.