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, 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.

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”).