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Insights

December 11, 2019 | Press Release

We're pleased to announce that ACA Aponix has been named Due Diligence Firm of the Year for the third year running in the M&A Advisor’s 14th Annual Turnaround Awards. The awards recognize the leading transactions, firms, and individuals in the distressed investing and reorganization industry.

The 2020 nominations represented over 240 participating companies and were judged by an independent jury of industry experts. The awards will be presented at...

December 6, 2019 | Thought Leadership

Regulators increasingly expect internal audit teams to continually develop and enhance their audit plans in the face of new risks. An internal audit team must be proactive to stay one step ahead of emerging risks.

December 2, 2019 | Thought Leadership

It’s Cyber Monday in the U.S., the unofficial start to the online holiday shopping season. In the wake of the recent Macy’s breach and other high-profile cyber incidents, it’s important to protect your online identity by controlling the amount of personal information that is available online and ensure that your data is transmitted safely every time you use your credit card online. Here are a few tips for cyber safety on Cyber Monday.

November 27, 2019 | Compliance Alert

Yesterday, the UK arm of a large international banking group was issued a record fine of £44 million for governance and control failings surrounding its capital adequacy and regulatory reporting. What lessons can firms learn from this enforcement?

November 25, 2019 | Thought Leadership

Over-burdened Chief Compliance Officers and compliance teams that are stretched too thin are more likely to experience burnout and make mistakes, exposing firms to risk. We examine how outsourcing can help improve standards, reduce risk, create operational efficiencies and ultimately bring about cost savings.

November 22, 2019 | Press Release

ACA is proud to announce that ACA Aponix was named the Due Diligence Firm of the year at the 18th Annual M&A Advisor Awards. The awards were announced at the 2019 M&A Advisor Awards at the 18th Annual Gala on Tuesday, November 19th.

The Annual M&A Advisor Awards recognize the professionals whose activities set the standard for M&A transactions. This year, over 200 nominees, representing over 500 companies, became finalists for the awards, and winners were chosen by an independent...

November 22, 2019 | White Paper

Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

November 22, 2019 | Thought Leadership

The customer due diligence (CDD) rule went into effect May 11, 2018. Now that firms have had sufficient time to make any necessary changes needed to implement the rule, it is likely that regulators will focus on CDD implementation within examinations.

November 14, 2019 | Thought Leadership

The demand and appetite for model portfolios is rapidly increasing among investment advisors. A recent report released from Broadridge revealed that assets in model portfolios now stand at $2.7 trillion and are expected to double by 2023.

November 13, 2019 | Compliance Alert

In recent week's global regulators have issued communications regarding their ongoing commitment to detecting and punishing insider trading, market abuse, and other misconduct by investment management firms. The common thread? Technology.

November 12, 2019 | Compliance Alert

The SEC has extended its no-action letter relief on MiFID II Research Payments until July 2023. We examine the longer-term implications of the Extension Letter and outline interesting points raised by the regulator.

November 12, 2019 | Thought Leadership

ACA Compliance Group's Greg Mekanik recently shared his insights with the Hedge Fund Law Report in a three-part series on the practical implications of the SEC’s interpretation regarding standard of conduct for investment advisers. 

Download Part Three: Three Tools to Systematically Monitor Conflicts of Interest 

Use the links below to access the entire series (Hedge Fund Law Report membership required):

November 11, 2019 | Thought Leadership

In less than one month, the Senior Managers & Certification Regime (SM&CR comes into force. Many Solo-regulated firms may need to accelerate the pace at which they are preparing for regime. Download our five-point checklist to benchmark your readiness ahead of the 9 December 2019 deadline.

November 8, 2019 | Compliance Alert - SEC

In an effort to ensure that the regulations applying to investment advisers remain relevant in the digital age, the staff of the SEC announced significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. Read our compliance alert to learn more.

November 7, 2019 | Compliance Alert

Learn more about the new guidelines on Electronic Data Storage issued by the Hong Kong SFC.

November 6, 2019 | Press Release

As a strategic partner, ACA will provide governance, risk, and compliance services and technology solutions to AMG and AMG Affiliates

November 6, 2019 | Compliance Alert - SEC

Read our summary of notable findings from the SEC Enforcement Division's Annual Report covering FY 2019.

November 5, 2019 | Thought Leadership

A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.

November 4, 2019 | Compliance Alert - FINRA

On October 16, 2019, FINRA published its 2019 Report on Examination Findings and Observations. The Report lists FINRA’s examination findings and observations for the current year.

October 31, 2019 | Compliance Alert - FINRA

Last week, William St. Louis, FINRA Senior Vice President and Regional Director, stated at the SIFMA C&L New York Regional Seminar that the regulator would begin reviewing firms in November to assess their Regulation Best Interest compliance readiness. Reg BI becomes effective on June 30, 2020.

October 28, 2019 | Cyber Alert

October is National Cyber Security Awareness Month in the U.S. Throughout the month, we will send you tips and best practices on a different cybersecurity topic. Today's topic is Password Strength.

October 28, 2019 | Thought Leadership

Passwords are the most common method of authentication, but remembering a unique password for each account you have can be a pain. Here are ACA Aponix's best practices for creating and managing passwords to help protect your accounts from a cyber-attack.

October 25, 2019 | Compliance Alert

The Institute of Internal Auditors (IIA) published a position paper on September 19, 2019 about the importance of Relationships of Trust - Building Better Connections Between the Audit Committee and Internal Audit. The position paper highlights the critical relationship between internal audit and the audit committee.

October 24, 2019 | Compliance Alert - FCA

The FCA has published Market Watch 62, in which it expresses significant concerns about authorised firms’ systems and controls when it comes to Personal Account Dealing (“PAD”).

October 22, 2019 | Thought Leadership

As you prepare to close 2019 strong and get ready for 2020, budgeting for RegTech as an efficient and cost-effective way to drive efficiencies and build a strong compliance program should be top of mind. Download our infographic to see how your peers are implementing - and budgeting for - RegTech.