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.

ACA White Paper GIPS Committees and Working Groups
White Paper
April 2, 2018

Firms of all sizes frequently ask about the relevance and importance of forming a GIPS Committee within their organization.

ACA’s Spring Conference
Thought Leadership
March 28, 2018

Today’s conference spotlight highlights a session that will address a topic that many investment advisers have wondered about: what actually happens during an SEC exam?

SFC FMCC 10 Key Points
Thought Leadership
March 28, 2018

The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.

ACA’s Spring Conference
Thought Leadership
March 27, 2018

Today’s conference spotlight highlights a session that will cover one of the financial industry’s most buzzed-about topics: Cryptocurrency and Compliance.

ACA’s Spring Conference
Thought Leadership
March 26, 2018

Today’s conference spotlight highlights two sessions led by our performance professionals from ACA Performance Services. 

ACA’s Spring Conference
Thought Leadership
March 23, 2018

Today’s conference spotlight highlights the session Using Compliance Technology and Consolidating Data Sets to Create New and Essential Insights.

Firm Notification Requirement
Thought Leadership
March 23, 2018

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each firm must submit the GIPS Compliance Form annually by June 30.

ACA’s Spring Conference
Thought Leadership
March 22, 2018

Today’s conference spotlight highlights three sessions that will be led by the cyber and technology risk professionals from ACA Aponix.

Year-End Compliance Testing
Thought Leadership
March 22, 2018

Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.

Due Diligence of Research Firms and Data Providers
Compliance Alert
March 20, 2018

Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of their service providers.

ComplianceAlpha marketing review solution case study
Case Study
March 16, 2018

This case study explains how an investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels implemented ACA's ComplianceAlpha® to address challenges with their marketing review processes.