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.
Did you miss our California Consumer Privacy Act webcast? ACA Aponix's Alex Scheinman shares what you need to know about the regulation and how you can prepare for the compliance deadline.
This case study details how ACA's NorthPoint Data Management Solutions helped a large OCIO manager solve challenges related to the Form ADV requirement to provide derivatives exposure for investments made via Separately Managed Accounts (SMAs) based on day-over-day data.
ACA's Jeff Rowley and Sara Laverick share a 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.
ACA’s Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.
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.
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.
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.
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.
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 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.
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.
The UK’s Chancellor of the Exchequer has delivered his 2018 Budget. This was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.
The popularity and worldwide adoption of the the GIPS standards by investment management firms is largely due to demand by asset owners. In the interest of risk management, asset owners increasingly require external investment managers to comply with the GIPS standards. Recently, more asset owners have begun to apply the same principles to their own performance reporting and ACA Performance Services is seeing growing interest in attaining GIPS compliance among the asset owner community.