Spotlight Blog

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

November 20, 2017

Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are available to assist with any short-term staffing needs. 

November 16, 2017

As we approach the end of 2017 and reflect on the past year, it’s hard to ignore the recent surge in cybercrime and the financial, operational, and reputational losses that breaches have caused portfolio companies and M&A targets.

November 16, 2017

For roughly 25 years, institutional investors have increasingly required asset managers with whom they invest to claim compliance with the Global Investment Performance Standards (GIPS®).

November 13, 2017

ACA staff have observed an increase in the amount and depth of trading data being requested of investment advisers by regulators prior to exams.

November 9, 2017

In May 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued its final rule on beneficial ownership with respect to customer due diligence ("CDD") requirements.

October 30, 2017

In the past year, it’s become apparent that cyber breaches are on the rise, and they are crippling businesses in their wake.

October 27, 2017

This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.

October 23, 2017

In the wake of the recent Equifax breach that potentially affected the personal data of more than 143 million Americans, Equifax is pointing the f

October 18, 2017

I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice. Before joining ACA, I served as Associate Director and Head of the National Technology Controls Examination Program with the U.S.

October 17, 2017

Human error remains a significant security threat to businesses of all sizes.

October 11, 2017

An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.

October 9, 2017

The 21st Annual GIPS® Standards Conference was held in San Diego on September 14-15 with over 300 attendees. A number of topics were covered, including important aspects of the proposed GIPS 20/20 updates.

October 2, 2017

Cyber threats continue to increase year over year and attack techniques are more sophisticated than ever.

September 19, 2017

The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.