Insights
The UK Stewardship Code 2020: What’s changing and why it matters
From 1 January 2020, many UK fund managers and providers will be more responsible and accountable for financial management as well as environmental, social and governance ESG. We examine what these changes mean for firms.
- Compliance
Emerging Internal Audit Risks
Regulators increasingly expect internal audit teams to continually develop and enhance their audit plans in the face of new risks. An internal audit team must be proactive to stay one step ahead of emerging risks.
- AML and Financial Crime
Cyber Monday Cyber Safety Tips
With the holiday season upon us and Cyber Monday quickly approaching, it’s important you are following best practices to protect your identity when shopping online. According to research by DealAid.org, 94% of Americans plan to shop online this holiday season. In the wake of an increase in cyber breaches this year, ensuring your data is transmitted safely every time you use your credit card online is essential. Here are a few times for cyber safety this holiday season.
- Cybersecurity
Record fine issued for governance and control failings over regulatory reporting
Yesterday, the UK arm of a large international banking group was issued a record fine of £44 million for governance and control failings surrounding its capital adequacy and regulatory reporting. What lessons can firms learn from this enforcement?
- Compliance
To outsource or not to outsource, that is the question
Over-burdened Chief Compliance Officers and compliance teams that are stretched too thin are more likely to experience burnout and make mistakes, exposing firms to risk. We examine how outsourcing can help improve standards, reduce risk, create operational efficiencies and ultimately bring about cost savings.
- Compliance
ACA Aponix Named Due Diligence Firm of the Year in the 18th Annual M&A Advisor Awards
ACA is proud to announce that ACA Aponix was named the Due Diligence Firm of the year at the 18th Annual M&A Advisor Awards. The Annual M&A Advisor Awards recognize the professionals whose activities set the standard for M&A transactions.
- Cybersecurity
Best Practices for Implementing a Holistic Monitoring and Surveillance Program
Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.
- Compliance
Customer Due Diligence: Preparing for Focus in U.S. Regulatory Examinations
The customer due diligence (CDD) rule went into effect May 11, 2018. Now that firms have had sufficient time to make any necessary changes needed to implement the rule, it is likely that regulators will focus on CDD implementation within examinations.
- AML and Financial Crime
The Trend Towards Model Delivery: Ways to Mitigate Risk
The demand and appetite for model portfolios is rapidly increasing among investment advisors. A recent report released from Broadridge revealed that assets in model portfolios now stand at $2.7 trillion and are expected to double by 2023.
- Performance
Regulators Remind Financial Services Firms of the Importance of Technology in Detecting Financial Crime
In recent weeks regulators across the globe have issued communications regarding their ongoing commitment to detecting and punishing insider trading, market abuse, and other misconduct by investment management firms. The common thread? Technology.
- RegTech