News & Analysis

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January 18, 2018 | Blog Article

Are you tired of managing your vendors with spreadsheets? Do you have a different tab for every third party? Does the prospect of a regulatory exam make you break out into a cold sweat?

The reality is that managing vendors manually can be inefficient, costly, and burdensome. A manual program creates redundancies, disorganization, and a decentralized process that cannot be easily reviewed by an examiner or board member.

January 17, 2018 | Press Release

ACA Compliance Group has expanded its team of over 185 compliance professionals with new employees who have extensive industry experience. New hires include:  

January 17, 2018 | Article

On January 10, 2018, the staff of the U.S. Securities and Exchange Commission’s (“SEC”) Division of Investment Management released answers to 15 questions regarding its October 2016 liquidity risk management program rule. The SEC staff’s guidance, addressed here in part, focused on sub-advisers and In-Kind exchange-traded funds (“ETFs”) (as defined in the rule).

January 11, 2018 | Blog Article

This is the first post in the ACA Technology Product Spotlight blog series. This series will highlight ACA Technology's solutions and how they can help your firm streamline operations, scale for growth, and meet business objectives effectively and efficiently.

Today's product spotlight focuses on ComplianceAlpha®, ACA's secure, centralized platform for compliance program management and risk monitoring.

January 10, 2018 | Cyber Alert

We’re excited to announce that ACA Aponix has been named Due Diligence Firm of the Year by the M&A Advisor’s 12th Annual Turnaround Awards. The awards honor the leading distressed investing, restructuring, and turnaround deal-making professionals. The 2018 nominations represented 250 participating companies and were judged by an independent jury of industry experts.

January 9, 2018 | Press Release

NEW YORK – January 9, 2018 – ACA Compliance Group (“ACA”), the leading provider of risk management and technology solutions to the financial services industry in the U.S. and Europe, announced today that it will partner with Starr Investment Holdings, LLC (“SIH”) for its next phase of growth. SIH has agreed to acquire a controlling interest from ACA’s previous majority owner New Mountain Capital, LLC.
 

January 8, 2018 | Cyber Alert

Updated January 8, 2018

Threat Summary

This is an update on a previous alert issued on the chip vulnerabilities known as Spectre and Meltdown.

December 22, 2017 | Article

The following article appeared in the December 2017 of NSCP's Currents Newsletter. It was written by ACA's Michael Abbriano.

December 21, 2017 | Compliance Alert

Below are the regulatory filing submission deadlines occurring from January through March 2018.

Filing Name

Regulator

December 15, 2017 | Blog Article

Firms in both the U.S. and the UK need to be aware of recent changes made to regulatory reporting forms. While the industry has been focused on MiFiD II, enhancements continue to be made to existing regulatory filings that require firms to keep abreast of their changes and modifications.

December 15, 2017 | Blog Article

ACA Compliance Group offers many webcasts throughout the year featuring discussions on timely topics and issues ranging from regulatory compliance, performance, financial crime, and cybersecurity.

As we approach the end of the year, we thought we’d take a look back at some of our most popular webcasts from 2017 and share them with you. All of the following webcasts are available on demand to view at your convenience.

December 14, 2017 | Blog Article

The Guidance Statement on Broadly Distributed Pooled Funds was approved on 13 March 2017. A summary of the guidance statement can be found here, and the full document can be accessed here.

December 13, 2017 | Blog Article

Due to the nature of its business, trade finance is considered a high-risk product that is frequently used by individuals and criminal organizations to launder funds, conduct terrorist financing, and evade the sanctions, regulations, and restrictions of the Office of Foreign Assets Control ("OFAC"). Financial institutions ("FIs") that provide trade finance offerings are under significant regulatory pressure to develop consistent standards to help mitigate financial crime risks.

December 12, 2017 | Press Release

ACA Aponix and ACA Technology Solutions, divisions of ACA Compliance Group ("ACA"), announced today the official release of ACA’s Vendor Management Platform, a centralized solution designed to streamline the vendor due diligence process and reduce the burden, risks, and costs associated with managing the vendor life cycle.

December 7, 2017 | Blog Article

Link or network analysis can help the compliance risk industry better analyze data sets to discover alarming patterns. This form of analysis allows compliance teams to dive into massive piles of valuable information and process data much faster than holistic methods can. However, according to a report by Oracle, 43% of surveyed C-level financial industry executives in North America lacked the ability to translate the data available to them into actionable insight.