Insights
SEC Updates Document Request List for Cybersecurity Examinations
The SEC's OCIE recently updated their document request list for cybersecurity examinations. Find out what's new in the document request list and how your firm should prepare for a cyber examination.
- Cybersecurity
ACA Compliance Group Expands Consulting Services for Bank Asset Managers
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.
- Compliance
- Bank Asset Management
RegTech Podcast: Innovation in Compliance with Tom Fox featuring ACA's Patrick Conroy
Highlights and link to the Innovation in Compliance with Tom Fox podcast episode, Nimble and Strategic Compliance: A Conversation with Patrick Conroy. Fox and ACA's; Conroy discuss a range of topics related to regulatory technology (RegTech).
- RegTech
Brexit and the FCA's Temporary Permissions Regime: The Final Countdown?
With the UK government’s desperate attempts to achieve a Brexit settlement having reached a crescendo, the FCA continues to make preparations for the worst case no-deal scenario. There appears still to be some uncertainty about who the regime applies to. This alert updates our previous alert on the same topic, with the objective of providing certainty to our clients on the current position.
- Compliance
The SEC Encourages Transfer Agents to Review and Strengthen Policies, Procedures and Controls
On February 13, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations ( OCIE) issued a Risk Alert highlighting the concerns and issues associated with certain types of transfer agents (“TAs”) that also serve as paying agents. While the Risk Alert is aimed at certain operational and regulatory requirements, compliance professionals within the mutual fund industry should also consider how certain areas identified by OCIE are compared to their mutual fund company’s in-house or third-party TA and/or sub-transfer agent(s).
- Compliance
White Paper: Board Oversight of Cybersecurity… In Search of the Rosetta Stone
ACA Compliance Group and ACA Aponix are please to present their newest white paper, Board Oversight of Cybersecurity...In Search of the Rosetta Stone.
- Compliance
SEC OCIE To Launch Cybersecurity Initiative Focused on M&A
Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC.
- Cybersecurity
Why Financial Services Firms Must Prepare for the California Consumer Privacy Act
ACA's Alex Scheinman discusses why financial services firms should prepare for CCPA compliance and develop a compliance roadmap.
- Cybersecurity
ACA Compliance Group's Spring 2019 Alternative Fund Manager Survey
Are you interested in what frequently asked compliance questions your peers have raised or have wondered about? Participate in our Alternative Fund Manager Survey.
- Compliance
ACA Announces Version 3.5 of ACA’s Decryptex Surveillance Technology
Key features include new and enhanced algorithms, vendor integrations for expert network or meeting calendar information, reporting enhancements, and user interface improvements.
- RegTech
- Trade Surveillance