
Insights

UK Buy Side Should Prepare for More FCA Market Abuse Scrutiny
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
- Compliance

Employee Data Governance Policies: Minimizing Impact, Maximizing Value
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.
- RegTech

How RegTech Helps Compliance Teams Increase Efficiency and Reduce Risk
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.
- RegTech

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