Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.
mock regulatory exam
Insights and guidance from ACA's team of experienced compliance and technology professionals.
Today’s conference spotlight highlights three sessions that will be led by the cyber and technology risk professionals from ACA Aponix.
Cybersecurity has been a top focus area for the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) for the past several years.
The U.S. Securities and Exchange Commission ("SEC") last week confirmed that examinations of investment advisers continued to increase in fiscal year 2017.
The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.