GRC hot topics
ESMA – Increased Focus on “MIFID II Reverse Solicitation” Rules Following the End of the UK Transition Period
A recent ESMA public statement reminds firms of MiFID II rules on “reverse solicitation”. We examine what this means for firms that provide investment services to retail and/or professional clients from locations outside of the European Union.
This alert contains information about security vulnerabilities addressed by Apple® in its iOS® 14.4 update, as well as the recent breach of SonicWall® cybersecurity products. Learn how to protect yourself from these breaches.
Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.
ACA Aponix selected as the winner of the Cybersecurity Technology Award by The DrawDown Private Equity Service Provider Awards.
- ACA News
We're pleased to announce that ACA Aponix was named Best Cybersecurity Provider in the 2021 HFM US Technology Awards. This marks the second year in a row that ACA Aponix was named Best Cybersecurity Provider by the HFM US Technology Awards. The awards were announced on February 5 at a ceremony in New York.
- ACA News
Former Gartner/CEB global IT Practice leader joins leading governance, risk, and compliance firm as the Business Unit Lead for ACA Aponix®, ACA’s cybersecurity and technology risk team.
- ACA News
This white paper will explore the many compliance concerns asset managers should keep in mind when obtaining and utilizing alternative data to ensure compliance with the SEC's compliance rule.
All PRI signatories must report on their responsible investing activities by April 29, 2021. On November 12, 2020, PRI released the newest version of the reporting framework, which is a major overhaul of the prior reporting framework.
ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.