Insights
Year-End Compliance Checklist for CCOs
With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.
- Compliance
Do You Have Sufficient Resources? Ensure Compliance Coverage for the Holiday Season and Beyond
The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis.
- Compliance
Brexit: The Impact on Your Marketing and Distribution Activities
With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions. With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.
- Compliance
ACA Compliance Group Selected for RegTech 100 for 2019
ACA has been selected for the RegTech 100 for 2019 by RegTech Analyst, a specialist research firm. The RegTech 100 recognizes the most innovative tech companies transforming compliance, risk management, and cybersecurity.
- RegTech
FAQs: Complying with the California Consumer Privacy Act (CCPA)
Did you miss our California Consumer Privacy Act webcast? Download our FAQs guide to learn more about the CCPA and how you can prepare for the compliance deadline.
- Cybersecurity
- Privacy
Preventing Breaches: 4 Ways to Test Your Company’s Security Controls
ACA Aponix consultant Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.
- Cybersecurity
Planning Your 2019 Compliance Budget Part Two: Top 5 Budgeting Tips from ACA’s Former Regulators and CCOs
As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.
- Compliance
The Team Approach to Managing Vendor Risk
Did you miss our vendor risk management webcast? ACA Aponix's Marc Lotti shares tips from the session for a team approach to vendor risk management.
- Cybersecurity
Case Study: ACA's M&A Diligence and Advisory Services for a Private Equity Firm
This case study explains how a private equity firm utilized ACA's M&A diligence and advisory services to determine the security of their target's integrated platform and necessary investment in technology, processes, and personnel to support their investment thesis.
- Cybersecurity
Code of Ethics/Personal Trading Technology – Understanding the Three Key Benefits
The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.
- RegTech