Insights
5 Best Practices for Building an Effective Vulnerability Management Program
This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.
- Cybersecurity
Don’t Let Third Parties Be Your Downfall — How to Ensure Your Vendors are Protecting Your Assets
In the wake of the recent Equifax breach that potentially affected the personal data of more than 143 million Americans, Equifax is pointing the finger at one of its third-party vendors as the cause.
- Cybersecurity
What Investment Advisers Need to Know about Regulatory Cybersecurity
I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice.
- Cybersecurity
7 Ways You Can Secure Your Network Endpoints
An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.
- Cybersecurity
Highlights from the 21st Annual GIPS Standards Conference
The 21st Annual GIPS Standards Conference was held in San Diego on September 14-15 with over 300 attendees. A number of topics were covered, including important aspects of the proposed 2020 GIPS Standards updates.
- Performance
Protecting Your Business from All Angles: Announcing ACA Aponix's 2017 Cybersecurity Awareness Month Theme
Cyber incidents can have devastating effects on business of all sizes.
- Cybersecurity
OCIE Publishes Marketing Risk Alert
On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advertising Rule”). The risk alert highlights the compliance issues most commonly noted by the SEC’s examination staff as part of a recent “Touting Initiative.” That initiative, which consisted of reviews of approximately 70 investment advisers, focused on the use of “accolades” in advertising.
- Compliance
5 Things Investment Advisers Need to Know about Regulatory Investment in Trade Surveillance
The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.
- RegTech
SEC Tightens Record-Keeping Requirement on RIAs Reporting Performance
The amendments to Investment Advisers Act Rule 204-2 will require advisers to maintain additional records related to the calculation and distribution of performance information.
- SEC
- Compliance
- Performance
MiFID II for Asset Managers: Communications Record Keeping
Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.
- Compliance