ACA Spotlight Blog

ACA Spotlight Blog

Regulatory compliance, risk, and technology insights and news

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ACA's experienced compliance, risk, and technology professionals regularly provide commentary 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.

SFC FMCC Checklist
Thought Leadership
October 11, 2018

On November 18, 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.

FCA Warns Firms Over Market Abuse Surveillance
Thought Leadership
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?  

How RegTech Can Enhance Your Firm’s GRC Program
Thought Leadership
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.

Protecting Your Online Identity
Thought Leadership
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.

How to keep kids safe online
Thought Leadership
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.

Vendor management case study
Case Study
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. 

IMS Fund Allocator case study
Case Study
September 26, 2018

This case study explains how a large, complex fund allocator implemented ACA's NorthPoint IMS to address challenges managing their fund investments due to operational inefficiencies and decentralized workflows and data.

Electronic Communication Surveillance
Thought Leadership
September 19, 2018

Regulators in both the U.S. and U.K. continue to focus on electronic communication oversight programs as a form of detecting and preventing financial crime and non-compliance within financial organizations. We’ve seen the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Financial Conduct Authority (FCA) increase their focus on this area over the past two years, and we anticipate this scrutiny will likely increase. This blog post tells you what you need to know and ACA's guidance.

Annual Testing Mandate
Thought Leadership
September 18, 2018

The Investment Advisers Act of 1940 ("Advisers Act") imposes a significant number of regulatory obligations on the roughly 13,000 advisers registered under its purview. One of the broader mandates under the Advisers Act, articulated by Rule 206(4)-7 (the “Compliance Program Rule”), requires advisers to review, no less frequently than annually, the adequacy of the policies and procedures established and the effectiveness of their implementation.

ACA fall conference
Thought Leadership
September 7, 2018

Don’t miss the opportunity to learn from industry experts, engage with like-minded peers, and connect with the top leaders in the industry at ACA's Fall

2020 GIPS Standards Exposure Draft
Thought Leadership
September 6, 2018

CFA Institute released the first major revisions to the GIPS standards on August 31, 2018. The proposed revisions represent the most significant change to the standards since the 2010 edition of the GIPS standards went into effect on January 1, 2011. The 2020 GIPS Standards Exposure Draft is now available for public comment until December 31, 2018.

2018 DEF CON Security Conference
Thought Leadership
August 30, 2018

Missed the 2018 DEF CON Security Conference? ACA Aponix's Justin Karpenski shares 8 key takeaways from one of the world's largest security conferences.