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.

New Prudential Framework Impact Analysis for EU Investment Firms
Thought Leadership
December 20, 2017

The premise of the new rules will be to ensure investment firms have a prudential framework designed to be simpler and more proportionate to the operations of these types of firms. However, these changes will result in significant alteration to how investment firms measure their capital for regulatory purposes. 

ACA's Top 10 Webcasts of 2017
Thought Leadership
December 15, 2017

ACA Compliance Group offers many webcasts throughout the year featuring discussions on timely topics and issues ranging from regulatory compliance, performance, financial crime, and cybersecurity.

regulatory reporting updates
Compliance Alert
December 15, 2017

Firms in both the U.S. and the UK need to be aware of recent changes made to regulatory reporting forms. While the industry has been focused on MiFiD II, enhancements continue to be made to existing regulatory filings that require firms to keep abreast of their changes and modifications.

GIPS
Thought Leadership
December 14, 2017

The Guidance Statement on Broadly Distributed Pooled Funds was approved on 13 March 2017.

AML
Thought Leadership
December 13, 2017

Due to the nature of its business, trade finance is considered a high-risk product that is frequently used by individuals and criminal organizations to launder funds, conduct terrorist financing, and evade the sanctions, regulations, and restrictions of the Office of Foreign Assets Control ("OFAC

GIPS Standards Guidance Statement on Overlay Strategies
Thought Leadership
December 7, 2017

Last summer, CFA Institute released the Exposure Draft of the GIPS Standards Guidance Statement on Overlay Strategies. Historically, this segment of the investment industry has not received much in the form of ethical best practices in calculating and presenting performance, and this release was the first attempt by CFA Institute to issue official guidance for overlay managers.

Anti-Money Laundering Investigations
Thought Leadership
December 7, 2017

Link or network analysis can help the compliance risk industry better analyze data sets to discover alarming patterns. This form of analysis allows compliance teams to dive into massive piles of valuable information and process data much faster than holistic methods can.

AML
Thought Leadership
December 5, 2017

Trying to get ahead but feel like you’re falling behind? The “most wonderful time of the year” can quickly turn into the most stressful time of the year when you’re caught between closing out year-end projects while strategizing and planning for the New Year.

CCO checklist
Thought Leadership
December 4, 2017

With only 19 business days left in the year, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong.

DFS 23 NYCRR 500
Compliance Alert
November 30, 2017

March 1, 2018 is the next compliance deadline for the New York State Department of Financial Services' ("DFS") New York State Law 23 NYCRR 500 Cybersecurity Requirements for Financial Services Companies (“23 NYCRR 500”).

compliance projects
Thought Leadership
November 17, 2017

Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are available to assist with any short-term staffing needs. 

Performance Update
Thought Leadership
November 16, 2017

For roughly 25 years, institutional investors have increasingly required asset managers with whom they invest to claim compliance with the GIPS standards. This requirement is largely required of traditional fixed income and equity strategies and applied to asset managers that work predominantly with institutional investors. Early on, most private wealth managers were exempt from the requirement, and thus their rates of compliance paled in comparison to those of traditional institutional managers.