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.

Cybersecurity
Cyber Alert
October 30, 2017

In the past year, it’s become apparent that cyber breaches are on the rise, and they are crippling businesses in their wake.

Vulnerability Management Program
Cyber Alert
October 27, 2017

This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.

cyber
Cyber Alert
October 23, 2017

In the wake of the recent Equifax breach that potentially affected the personal data of more than 143 million Americans, Equifax is pointing the f

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.