ACA Spotlight Blog

ACA Spotlight Blog

Regulatory compliance, risk, and technology insights and news

Subscribe

ACA's experienced compliance, risk, and technology professionals regularly provide commentary 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.

Update Coming to the Three Lines of Defense Model
Thought Leadership
February 27, 2019

The Three Lines of Defense Model has gained popularity as the de facto model for organizing governance, risk management and internal control roles and responsibilities since the Institute of Internal Auditors (IIA) published “The Three Lines of Defense in Effective Risk Management and Control,” position paper in 2013. The IIA recently announced that they would embark on a key project to refresh and update this document.

Senior Managers & Certification Regime: 6 major challenges for firms
Thought Leadership
February 27, 2019

As firms look to address the FCA’s Senior Managers and Certification Regime (“SM&CR”), ahead of the December 9 deadline, we observe six common themes and challenges emerging from their project implementation.

ACA Spring Conference 2019 Miami
Thought Leadership
February 22, 2019

ACA’s Spring 2019 Compliance and Performance Conference is headed to sunny Miami!

Thought Leadership
February 21, 2019

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.

    Survey
    February 19, 2019

    Tax season is a prime time for identify theft. Find out how you can avoid common tax scams.

    UK Self-Assessment: post-submission challenges
    Thought Leadership
    February 14, 2019

    The 2017/18 UK tax return deadline has now passed, but did you know there are a range of post-submission challenges that may impact you - some of which you may not be aware of? These include, Disappearing Payments on Account, Delays in Processing Amended Tax Returns, Ongoing Class 2 National Insurance Problems and Scams. Our personal tax specialist, Paul Webster, provides guidance on how to address these challenges.

    Technology and AML
    Thought Leadership
    February 13, 2019

    Analytical segmentation modeling (ASM) is one way to design an effective AML monitoring strategy through the development of a quality model to achieve segmentation. ASM involves combining customer or bank accounts with similar properties and transaction behavior to make it easy for banks to formulate risk signals based on their various classes of customers. This model sets threshold levels for the segments monitored by identifying patterns based on the groups of similar customers and/or accounts.

    6 ways to stay head of regulators with RegTech
    Thought Leadership
    February 6, 2019

    Regulators globally continue to invest in developing their technological capabilities to quickly and efficiently manage data, and they expect investment firms to do the same. In this blog post, ACA's Burt Esrig and Michael Lehman discuss what you need to know and how regulatory technology solutions can help.

    Thought Leadership
    January 31, 2019

    Tax season is a prime time for identify theft. Find out how you can avoid common tax scams.

    Thought Leadership
    January 30, 2019

    Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.

    ACA Aponix Case Study
    Case Study
    January 22, 2019

    This case study explains how a private equity firm utilized ACA's M&A diligence and advisory services to evaluate a potential partner’s IT systems, infrastructure, regulatory compliance, and resiliency.

    CCO Support
    Thought Leadership
    January 18, 2019

    As the government shutdown continues and uncertainty abounds, firms may be at a greater risk.