ACA Spotlight Blog

GRC Spotlight Blog

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

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March 22, 2018

Today’s conference spotlight highlights three sessions that will be led by the cyber and technology risk professionals from ACA Aponix.

March 20, 2018

Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of their service providers.

ComplianceAlpha marketing review solution case study
March 16, 2018

This case study explains how an investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels implemented ACA's ComplianceAlpha® to address challenges with their marketing review processes.

March 1, 2018

Cybersecurity has been a top focus area for the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) for the past several years.

March 1, 2018

The decision to pursue GIPS compliance and verification is not always a simple choice. There are many moving parts within a firm’s compliance framework, and thus there are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards.

White Paper: Cordium Regulatory Summit San Francisco
February 28, 2018

Our Regulatory Summit in San Francisco focused on the key themes and challenges for compliance teams to address in 2018 (and beyond). Our latest whitepaper is based on discussions from the attendees and speakers at the summit.

Here are some key highlights:

February 27, 2018

In data management, Knowledge Date — also called “As At” date functionality — refers to the ability to store the same data point based on the information available at a certain point in time.

February 26, 2018

On May 25, the European Union’s General Data Protection Regulation (GDPR) goes into effect.

February 23, 2018

While we could give you countless reasons why you should attend ACA’s Spring 2018 Compliance and Performance Conference, we’ve narrowed the list down to eight.

FCA Dear CEO letter targets improved prudential processes
February 20, 2018

For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.

ComplianceAlpha compliance management case study
February 14, 2018

This case study details how dual-entity private equity and hedge fund manager with approximately $1 billion AUM implemented ACA's ComplianceAlpha® to build a universal risk assessment and compliance program testing regime under time and resource constraints.