News & Analysis

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November 16, 2017 | Cyber Alert
North Korean Trojan Malware (Volgmer)

The Department of Homeland Security (DHS) and the Federal Bureau of Investigation (FBI) released a joint technical alert on Monday, November 14 regarding malicious cyber activity by the North Korean government referred to as HIDDEN COBRA. The alert identified IP addresses and other indicators of compromise connected to a backdoor Trojan malware variant commonly known as Volgmer. The DHS and FBI suspect that spear phishing is the primary delivery mechanism for Volgmer infections.

November 8, 2017 | Compliance Alert

On November 7, the SEC’s National Examination Program issued a Risk Alert providing the SEC staff’s observations after conducting over 110 examinations of municipal advisors during the Municipal Advisor Examination Initiative. Some of the key observations highlighted by the Risk Alert include:

November 8, 2017 | White Paper

ACA is pleased to present, An Adviser’s Introduction to ETF Management a white paper examining the points of consideration for investment advisers exploring the creation and management of an exchange-traded fund (“ETF”).

October 31, 2017 | Compliance Alert

A joint approach to paying for research? SEC and European Commission release simultaneous statements on the MiFID II research rules.

October 27, 2017 | Press Release

ACA Compliance Group ("ACA") is pleased to announced that it has been named Best Advisory Firm - Regulatory and Compliance at the 2017 HFM US Hedge Fund Services Awards. The award was announced on October 19 at a ceremony in New York.

The HFM US Hedge Fund Services Awards honor providers of services and solutions to the hedge fund sector that have demonstrated exceptional innovation, customer services, and performance over the past year.

October 25, 2017 | Cyber Alert
Threat Summary

A new strain of ransomware, nicknamed "Bad Rabbit," has been detected in several countries, including Russia, Ukraine, Turkey, Germany, and others.

October 20, 2017 | Compliance Alert

Global investment managers, particularly those with subsidiaries based in the European Union (“EU”), have been challenged by the recent increase in regulatory reporting mandates from European regulators, particularly the Markets in Financial Instruments Directive (“MiFID II”). Given the scope of these requirements, ACA recognizes the need for U.S. investment managers to adopt technology solutions that can help ease the burden of complying with current regulations while also getting ahead of future regulatory changes. 

October 17, 2017 | Cyber Alert

This advisory contains information about the SEC-themed phishing campaign targeting EDGAR filers and a critical Wi-Fi encryption vulnerability.

October 16, 2017 | Cyber Alert

This month, ACA Aponix is participating in the Department of Homeland Security's Stop.Think.Connect Campaign for National Cyber Security Awareness Month (NSCAM). Each week in October, we will provide best practices and guidance on the ways you can protect your business from cyber threats.

This week's topic is 5 Ways Your Employees Can Be Your Company’s #1 Cyber Defenders.

October 10, 2017 | Press Release

ACA Compliance Group (“ACA”) is pleased to announce that Askari J. Foy has joined the firm as a Managing Director overseeing ACA Aponix’s Global Regulatory Cybersecurity practice.

October 9, 2017 | Cyber Alert
7 Ways You Can Secure Your Network Endpoints

This month, ACA Aponix is participating in the Department of Homeland Security's Stop.Think.Connect Campaign for National Cyber Security Awareness Month (NSCAM). Each week in October, we will provide best practices and guidance on the ways you can protect your business from cyber threats.

This week's topic is 7 Ways You Can Secure Your Network Endpoints.

October 6, 2017 | Article

The following article was featured in the September 2017 edition of Financier Worldwide. It was written by ACA's Jami Jack and Ken Harman.

It is hardly surprising that European technology investment has grown tremendously over the past few years, given the fresh wave of innovative start-ups coming on the scene each month. As a consequence, Europe is now home to a host of mature yet fast-growing technology businesses, such as Auto1, blablacar, Klarna, iZettle and SumUp. 

October 3, 2017 | Compliance Alert

On July 7, 2017 the Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority (“FINRA”) proposed rule changes to adopt consolidated registration rules. The new rules restructure the representative-level qualification examination program, allow permissive registration, establish an exam waiver process for persons working for a financial services affiliate of member, and amend the continuing education requirements. Although approved, FINRA has not established an effective date for these new rules. 

October 2, 2017 | Cyber Alert
Cyber Threats on the Rise: How to Protect Your Business and Yourself from Becoming a Statistic

This month, ACA Aponix is participating in the Department of Homeland Security's Stop.Think.Connect Campaign for National Cyber Security Awareness Month (NSCAM). Each week in October, we will provide best practices and guidance on the ways you can protect your business from cyber threats.

October 2, 2017 | Compliance Alert

The MiFID II deadline is fast approaching and many firms are in the midst of implementing the proper operational and regulatory changes necessary to comply with the new European directive. How do you know your implementation is in-line with your peers and you have the balance right between commercial expectations and compliance with the directive? Have you independently tested what you’ve done to ensure you’ve covered every last detail?