banking

Insights and guidance from ACA's team of experienced compliance and technology professionals.

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April 5, 2019

ACA Compliance Group (“ACA”) has expanded its consulting services that will help banks engaged in asset management activities manage risk and meet growing regulatory expectations. The bank asset management consulting services practice is overseen by former bank examiner, Roy Kim.

March 22, 2019

ACA provides bank asset management groups engaged in trust, custody, and investment management activities with risk, compliance and internal audit consulting services leveraging techniques used by banking regulators and industry leaders. ACA specializes in asset management, and its true value and competitive advantage is the breadth and depth of expertise at all levels of the firm including prior regulatory experience at agencies like the Office of the Comptroller of Currency (OCC), Department of Labor (DOL) and Securities Exchange Commission (SEC).

The Impact of Fee Compression on Risk Management
March 13, 2019

The bank and non-bank asset management industry is struggling with fee compression which has sparked a series of layoffs that you may have read about in recent news.

Potential Risks for Banks Using Third-Party Broker-Dealers
January 7, 2019

Third-party risk management is a key priority for banking regulators like the Office of the Comptroller of the Currency (“OCC”). Every one of the many thousands of service providers a bank may use exposes them to different levels of risk - some of which can be serious and costly. This is why banking regulators are requiring strong, risk-based due diligence and ongoing monitoring before and after a third party is hired. Roy Kim explains what you need to know.