ACA Spotlight Blog

ACA Spotlight Blog

Compliance, risk, and technology insights and alerts for financial services
 

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ACA's experienced compliance, risk, performance, cybersecurity, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog 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.

Brexit: the impact on your marketing and distribution activities
Thought Leadership
November 21, 2018

With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions.  With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.

November 2018 Broker-Dealer Newsletter
Newsletter
November 19, 2018

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

CCPA compliance
Thought Leadership
November 16, 2018

Did you miss our California Consumer Privacy Act webcast? Download our FAQs guide to learn more about the CCPA and how you can prepare for the compliance deadline.

ACA Aponix taking control of vendor risk
Thought Leadership
November 9, 2018

ACA's 6-step approach to stay on top of the vendors your company uses and to ensure that their cyber and technology risks are accounted for and under control.

4 ways to prevent breaches
Thought Leadership
November 7, 2018

ACA Aponix consultant Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.

planning budget
Thought Leadership
November 5, 2018

As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.

team approach to managing vendor risk aca aponix
Thought Leadership
November 2, 2018

Did you miss our vendor risk management webcast? ACA Aponix's Marc Lotti shares tips from the session for a team approach to vendor risk management.

M&A case study
Case Study
November 1, 2018

This case study explains how a private equity firm utilized ACA's M&A diligence and advisory services to determine the security of their target's integrated platform and necessary investment in technology, processes, and personnel to support their investment thesis.

Thought Leadership
November 1, 2018

The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.

Planning Your 2019 Compliance Budget
Thought Leadership
October 31, 2018

As year-end nears, compliance teams are beginning to plan for 2019. To assist with the annual budgeting process, ACA has compiled the following information to help firms stretch limited resources and keep pace with the regulatory developments shaping next year’s compliance efforts.

ACA's Fall 2018 Compliance Conference
Thought Leadership
October 31, 2018

ACA Compliance Group's 2018 Fall Compliance Conference was held from October 3rd through 5th at the Hyatt Regency Resort Resort at Gainey Ranch in Scottsdale, Arizona.

Talking to Your Family and Friends About Cybersecurity
Thought Leadership
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.