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.

Regulatory Cybersecurity for RIAs
Cyber Alert
October 18, 2017

I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice. Before joining ACA, I served as Associate Director and Head of the National Technology Controls Examination Program with the U.S.

cyber
Cyber Alert
October 17, 2017

Human error remains a significant security threat to businesses of all sizes.

cyber awareness
Cyber Alert
October 11, 2017

An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.

Annual GIPS Standards Conference
Thought Leadership
October 9, 2017

The 21st Annual GIPS Standards Conference was held in San Diego on September 14-15 with over 300 attendees. A number of topics were covered, including important aspects of the proposed 2020 GIPS Standards updates. 

Cybersecurity Awareness month
Cyber Alert
October 2, 2017

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

cyber awareness month
Cyber Alert
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.

Regulatory Investment in Trade Surveillance
Thought Leadership
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
Compliance Alert
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.

Electronic Communications
Thought Leadership
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.

ACA and Ashland
Thought Leadership
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).

ACA's Spring Conference 2017 Wrap-Up
Thought Leadership
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
Thought Leadership
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”).