Spotlight Blog

Regulatory compliance and technology insights, news, and guidance from ACA's experienced team

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January 31, 2018

Investors and portfolio managers alike grapple with the best calculation methodology to use in performance measurement. We've created a fact sheet to help you distinguish the two primary measures: the time-weighted rate of return (“TWR”) and the internal rate of return (“IRR”).

January 31, 2018

This week is Tax Identify Theft Week in the U.S. As tax filing season kicks off, it’s important to be on the lookout for tax scams.

April 23, 2018

Cyber-attacks continue to increase as new threats emerge. In the first half of 2018, several major breaches and incidents occurred at companies including Facebook, MyFitnessPal (Under Armour), and Panera Bread, to name a few.

ACA vendor management platform
January 18, 2018

Are you tired of managing your vendors with spreadsheets? Do you have a different tab for every third party? Does the prospect of a regulatory exam make you break out into a cold sweat?

January 12, 2018

This case study details how a growing investment advisory and financial planning firm managing over $1.5 billion in client assets implemented ACA's ComplianceAlpha® Compliance Management Platform (CMP) and Marketing Review Solution (MRS) modules to enhance the firm's compliance and marketing review program infrastructure.

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.

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.

December 14, 2017

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

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

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.

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.

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.

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”).