Insights

December 14, 2018

Performing third-party risk management (TPRM) on vendors is a complex, high-stakes process. So how do you decide what is the right solution for your company? Here are 5 key differences to help you determine whether process automation or process outsourcing is best for your company.

December 13, 2018

The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at a

December 12, 2018

Regulatory mandates and pressure from investors are driving firms to implement new security policies which can be challenging for employees. Here's a set of key guidelines to minimize the impact and maximize the value of implementations for your employees.

December 05, 2018

Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.

November 29, 2018

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.

November 28, 2018

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.

November 21, 2018

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.

November 20, 2018

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.

November 16, 2018

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.

November 07, 2018

ACA Aponix consultant Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.