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ACA Appoints Anthony Bennett to Lead ACA Mirabella Sales and Client Development

Former global prime broker and industry consultant joins multi-award-winning regulatory hosting division

News
  • ACA News
EU and UK Flags

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.

Compliance Alert
  • Compliance
ACA Threat Intelligence Alert Blog Image

Apple iOS Updated; SonicWall Cybersecurity Products Hacked

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.

Compliance Alert
  • Cybersecurity
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Managing Compliance Concerns in the Wake of GameStop Corp. Stock Inflation

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.

Compliance Alert
  • Compliance
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ACA Aponix Named Best Cyber Security Provider by The Drawdown's Private Equity Services Awards 2020

ACA Aponix selected as the winner of the Cybersecurity Technology Award by The DrawDown Private Equity Service Provider Awards.

News
  • ACA News
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ACA Aponix named Best Cybersecurity Provider in 2021 HFM US Technology Awards

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.

News
  • ACA News
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Kavitha Venkita Joins ACA Compliance Group to Lead its Cybersecurity and Technology Risk Team

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.

News
  • ACA News
Alt Data

White Paper: Does the Use of Alternative Data Require Alternative Compliance Measures?

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.

Report
  • Compliance
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New PRI Framework Could Catch Signatories Off Guard

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.

Article
  • ESG
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Key Trends and Forces Shaping Risk and Compliance Management in 2021: Report

ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.

Article
  • Compliance
  • RiskMutation
  • RegTech
  • Cybersecurity