Insights
SEC Charges Broker-Dealers with Filing Deficient Suspicious Activity Reports
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
- Compliance
- SEC
- AML and Financial Crime
Jody Kochansky Joins ACA to Lead Product and Engineering
Jody Kochansky Joins ACA to Lead Product and Engineering
- ACA News
What to Know About ETF Distribution
Before your fund enters the marketplace, you will need a distribution plan. This article provides distribution considerations.
- Distribution
Critical Vulnerabilities in Virtual Environments Using VMware vCenter Server
These vulnerabilities serve as a potential gateway to exploit not only the targeted vCenter instances, but also the broader networks and systems they manage.
- Cybersecurity
Critical WordPress Vulnerability Puts Websites at Risk
A critical security vulnerability was discovered in a WordPress plugin that allows attackers to enter the platform without credentials.
- Cybersecurity
Mutual Fund to ETF Conversions
In response to investor interest in the ETF vehicle, firms are rolling their existing assets from another product into an ETF.
- Distribution
Mastering Digital Communications Governance: Common Questions Answered
Communications surveillance has emerged as a critical area for asset managers to ensure compliance.
- RegTech
- ComplianceAlpha
- eComms Surveillance
Key Takeaways from PRI in Person 2024
The PRI in Person event in Toronto spotlighted key responsible investment themes: integrating climate risks into financial decisions, advancing standardized ESG reporting, and addressing human rights in sustainable development.
- ESG
ACA Group Acquires Financial Compliance Firm, FINOP Consulting
Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.
- ACA News
ACA/NSCP 2024 AI Benchmarking Survey Results
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
- Compliance
- Artificial Intelligence (AI)