ACA Spotlight Blog

GRC Spotlight Blog

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

September 7, 2018

Don’t miss the opportunity to learn from industry experts, engage with like-minded peers, and connect with top leaders at ACA's Fall 2018 Compliance

2020 GIPS Standards Exposure Draft
September 6, 2018

CFA Institute released the first major revisions to the GIPS standards on August 31, 2018. The proposed revisions represent the most significant change to the standards since the 2010 edition of the GIPS standards went into effect on January 1, 2011. The 2020 GIPS Standards Exposure Draft is now available for public comment until December 31, 2018.

August 30, 2018

Missed the 2018 DEF CON Security Conference? ACA Aponix's Justin Karpenski shares 8 key takeaways from one of the world's largest security conferences.

August 29, 2018

The UK’s financial regulator recently announced 9 December 2019 as the deadline for the implementation of the Senior Managers & Certification Regime (SM&CR) for solo-regulated firms. With the regulation set to impact 47,000 financial firms, we answer some common questions that firms may have on the upcoming SM&CR.

August 24, 2018

We introduced ACA Academy at our spring compliance conference as an extra resource designed to provide compliance professionals with a non-compliance skill set that cam be applied both on and off the job. Here are five reasons to attend ACA Academy, no matter your role or company size.

August 23, 2018

ACA’s Askari Foy and Thomas Riley recently hosted a live webcast discussing cybersecurity best practices and trends for fund boards, sub-advisers, and investment company service providers with cybersecurity oversight. This post provides key takeaways from the webcast that investment companies can implement to help mitigate cybersecurity risk and protect the fund's assets and reputation. 

August 21, 2018

This case study details how a global asset management firm with more than $100 billion in assets under management (AUM) across multiple geographic regions implemented ACA's ComplianceAlpha Marketing Review Solution (MRS) to streamline marketing reviews and meet regulatory requirements.

MiFID II August Insights
August 16, 2018

With a significant increase to the number of reports ingested and the uptick in the number of firms submitting data, the FCA has been able to build a clearer picture of the behaviours of firms’ and their clients. However, the regulator is stressing the importance of reporting data quality, accuracy and completeness, with a particular focus on the following issues.

August 8, 2018

ACA Aponix Partner Mike Pappacena provides the key elements to building a strong cybersecurity program that not only protects your business and data, but also keeps regulators away.

Recent Developments in the SEC’s Requests Related to MNPI Testing
August 8, 2018

The U.S. Securities and Exchange Commission ("SEC") continues to invest in developing and improving its technology and data analytics capabilities.

The CFTC Expands Its Regulatory Approach to Cryptocurrencies
August 8, 2018

The U.S. Commodity Futures Trading Commission (CFTC) has taken several actions to flesh out its regulatory approach to cryptocurrency transactions that are classified as commodities. There’s no doubt that US regulators will continue to publish new materials on cryptocurrencies as the year progresses. How should firms that wish to engage in cryptocurrencies prepare?

Compliance Culture: Building an Approach on Three Core Values
August 6, 2018

Most firms find “compliance culture” an important, yet elusive, term that is difficult to define and even more challenging to shape and nurture. However, it’s clear that a compliance culture sets the basis of behavior, integrity and accountability across an organization. But what are the core values that can help firms focus their overall efforts to build a compliance culture more effectively?

addressing sec priorities with tech
August 6, 2018

ACA Technology's Burt Esrig recently shared his expertise on regulatory technology with Wells Fargo Prime Investment Services for their July 2018 Business Consulting and Regulatory Updates.

August 2, 2018

This case study explains how a growing fixed income asset management firm implemented ACA's NorthPoint IMS to address business challenges due to a lack of integrated portfolio compliance and straight through processing in their trading workflow.