mock regulatory exam

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

January 30, 2019

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.

March 22, 2018

Today’s conference spotlight highlights three sessions that will be led by the cyber and technology risk professionals from ACA Aponix.

March 1, 2018

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.

November 21, 2017

The U.S. Securities and Exchange Commission ("SEC") last week confirmed that examinations of investment advisers continued to increase in fiscal year 2017.

September 19, 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.

September 8, 2014

The SEC targets registered investment advisers both domestically and across the globe for inspections as part of its risk-focused exam strategy.