ACA Spotlight Blog

GRC Spotlight Blog

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

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October 2, 2017

Cyber threats continue to increase year over year and attack techniques are more sophisticated than ever.

September 19, 2017

The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.

MiFID II for Asset Managers: Communications Record Keeping
August 14, 2017

Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.

ACA's Spring Conference 2017 Wrap-Up
May 9, 2017

ACA Compliance Group's 2017 Spring Compliance Conference was held from May 3rd through 5th at the luxurious PGA National Resort & Spa in Palm Beach Gardens, Florida.

Anticipated Behavior Profile
April 24, 2017

Financial institutions (“FI’s”) are required by Anti-Money Laundering (“AML”) regulations to perform risk-based due diligence for their customers and prospective customer. This due diligence is referred to as Customer Due Diligence (“CDD”).

5 Ways to Meet Regulators' Expectations Regarding Electronic Communications
July 20, 2017

The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise the appropriate books and records.

Best GIPS Compliance Verification and Performance Team in the World
May 26, 2017

Earlier this month, ACA announced that it is set to acquire Ashland Partners & Company, LLP's GIPS compliance verification and performance practice. When this transaction closes in June, ACA Performance Services will offer the most experienced team of GIPS compliance verifiers in the world, servicing over 1,000 clients annually, including 49% of the top 100 managers of institutional assets worldwide (as determined by Pensions & Investments magazine).

Cybersecurity Awareness
September 27, 2017

Cyber incidents can have devastating effects on business of all sizes. A breach or malware attack could cripple business operations, lead to financial losses, expose sensitive data, and cause reputational damage.