ACA Compliance Group's 2017 Spring Compliance Conference was held from May 3rd through 5th at the luxurious PGA National Resort & Spa in Palm Beach Gardens, Florida.
Financial institutions (“FI’s”) are required by Anti-Money Laundering (“AML”) regulations to perform risk-based due diligence for their customers and prospective customer. This due diligence is referred to as Customer Due Diligence (“CDD”).
The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise the appropriate books and records.
Earlier this month, ACA announced that it is set to acquire Ashland Partners & Company, LLP's GIPS® verification and performance practice.
Cyber incidents can have devastating effects on business of all sizes. A breach or malware attack could cripple business operations, lead to financial losses, expose sensitive data, and cause reputational damage.