ACA Spotlight Blog

GRC Spotlight Blog

Governance, risk, and technology insights from ACA's experienced team

New prudential regime for Exempt CAD
April 23, 2018

Likely to come into force by the end of 2019, the prudential framework will hit some firms very hard, requiring them to maintain significantly greater levels of capital. We are running a series of articles assessing the material areas of change imposed by these new rules. In this first article, we examine the regime’s impact on the capital and liquidity requirements of Exempt-CAD firms.

April 6, 2018

This case study explains how ACA's NorthPoint Platform helped a growing investment management firm with approximately $19 billion in assets under management solve business challenges related to managing mulitple disparate software systems and home-grown applications, as well as manual operational processes.

April 6, 2018

More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues.

April 11, 2018

ACA’s Spring 2018 Compliance and Performance Conference will include for the fourth time a performance-focused track specifically on issues related to performance measurement and the GIPS standards. Throughout the year, you have several performance conferences to choose from, so what makes ACA better than the others? Well, let us tell you…

April 2, 2018

During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This blog post is a summary of our article detailing the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.

April 1, 2018

A cyber-attack can happen at any time, often when we least expect it. Many of us wouldn't even think of the possibility of being hacked during something as routine as our morning commute. However, the reality is that many of us use electronic devices every day, all day, that can become targets for cyber crime. The good news is we can prevent these attacks. This blog post discusses how.

March 28, 2018

Today’s conference spotlight highlights a session that will address a topic that many investment advisers have wondered about: what actually happens during an SEC exam?

SFC FMCC 10 Key Points
March 28, 2018

The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.

March 28, 2018

Firms of all sizes frequently ask about the relevance and importance of forming a GIPS Committee within their organization. Startup firms debate whether a GIPS Committee provides any added value when limited personnel causes constraints on resources. Conversely, well established, global entities often see the added value in having a committee but must weigh the operational burdens involved.

March 27, 2018

Today’s conference spotlight highlights a session that will cover one of the financial industry’s most buzzed-about topics: Cryptocurrency and Compliance.

March 26, 2018

Today’s conference spotlight highlights two sessions led by our performance professionals from ACA Performance Services. 

March 23, 2018

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

March 23, 2018

Today’s conference spotlight highlights the session Using Compliance Technology and Consolidating Data Sets to Create New and Essential Insights.

March 22, 2018

Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.