ACA's Top White Papers of 2022
The risk and regulatory landscape has changed dramatically for financial firms over the past year. Our most popular white papers of 2022 provide important information about these risks and guidance for protecting your firm to comply with new regulatory requirements.
- 6 Strategies for Digitizing Your Compliance Program with Technology
What do you need to know as technology’s role in compliance management continues to grow? And how do you get buy-in from senior leadership to invest in digitizing compliance? This guide provides the strategies, insights, and resources you need to know about tech-enabling compliance, whether you’ve already started your digitization efforts or don’t know where to begin. Download
- The 2022 Ransomware Guide
This guide addresses what you should know, and what you can do to protect your firm, your clients, and your finances. The ransomware best practices and recommendations in this white paper are based on operational insights from the ACA Aponix® team and is intended for financial information technology (IT) professionals as well as others involved in developing cyber incident response policies and procedures or coordinating cyber incident response. Download
- Surviving the Macro-Economic Superstorm | Practical solutions to tackle today's compliance talent and cost challenges
Many firms now find it more challenging to locate the talent required to fill key roles. In an environment of heightened regulation, increasing scrutiny, and cost pressures, they are being challenged to increase the effectiveness of their compliance programs, manage with fewer internal resources, ensure high-quality results, reduce turnaround times, and lower costs. This back-office staffing challenge leaves firms in danger of creating risky exposure gaps in their compliance program.
This white paper looks at some helpful trends and areas where firms are deploying a managed services approach, discusses the benefits of outsourcing certain compliance and performance-related tasks, and explores how managed services can, with the right partner, enable financial firms to both to embed more efficient processes and free up talent for more value-generating activities. Download
- Key Takeaways From Our Regulatory Horizon 2022 Conference | Prepare for the Challenges of Tomorrow
Governance, risk and compliance (GRC) professionals have to manage external geopolitical pressures in the context of a hyper competitive job market, a growing regulatory and environmental, social, and governance (ESG) agenda on both sides of the Atlantic, and the expectations of getting more from less. Download our complimentary guidance and benchmarking paper to identify your GRC gaps. Download
- Compliance is Easier Than You Think: The Private Equity Managers Path to Compliance with the Global Investment Performance Standards (GIPS®)
Regulators continue to push for greater standardization and transparency in performance reporting and marketing of private funds. A common denominator in these new regulations is a reference to, or reliance upon, the GIPS Standards to provide the underlying performance methodology framework. These standards are well positioned to assist private fund managers with establishing a framework for calculating and presenting performance results to meet these increased demands. Download our white paper for an outline of the requirements to claim compliance with the GIPS standards. Download
- 2022 Regulatory Headwinds | Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers
The U.S. Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds. Download
- 2022 Investment Management Compliance Testing Survey Results | Survey Shows SEC Marketing Rule Continues to be Top Compliance Concern
The Investment Adviser Compliance Testing Survey is a joint project of the Investment Adviser Association, ACA Group, and Yuter Compliance Consulting to identify the top concerns of investment management compliance professionals and the types of compliance testing practices and strategies investment adviser firms are using to address core compliance topics. The survey gathered anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends. Download
- WatersTechnology Survey Report: Compliance Technology Challenges, Opportunities and What Firms Want
This survey covered operational and technology challenges and opportunities facing firms, the value associated with compliance functions and the role they play in their overall value propositions, what firms value most when looking for a compliance partner or service provider, and the extent to which new and emerging technologies are likely to be applied to augment firms' compliance functions. Download the full report to see how your compliance program matches up to your peers. Download
SEC Marketing Rule Master Class Podcast
In addition to our white papers, our compliance experts shared their advice for complying with the SEC's Marketing Rule in a master class podcast series. Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader, this 6 episode podcast series features leading compliance specialists, attorneys, and regulators with deep knowledge and insight on the SEC Marketing Rule and its implications and considerations for firms. Listen to the show in your favorite podcast app:
How we help
Compliance teams need continuous support and knowledge sharing to stay on top of emerging risks and regulatory initiatives. Our team helps you navigate the evolving risk landscape while considering the complexity of your firm’s unique compliance requirements.
We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our advisory, outsourcing, and technology solutions. Our services and solutions include standard and customized compliance packages, cybersecurity and technology risk assessments, Global Investment Performance Standards (GIPS®) compliance and other performance services, and a variety of business advisory, technology, and training solutions for financial services firms.
Contact us to find out how we can help your firm.