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The 2020 GIPS Standards: Opening Doors for Alternative Managers

The 2020 edition of the GIPS Standards was released on June 28, 2019. One of the major initiatives of the overhaul was to make compliance with the GIPS standards easier for alternative managers.

  • Performance

6 Hot Topics in Employee Compliance

Is your code of ethics monitoring and personal trade surveillance compliance program built to beat the heat? This blog post recaps our recent webcast on this topic and provides best practices for navigating complex and evolving areas of compliance management, including cryptocurrency, pay-to-play, robo-advisors, and more.

  • Regulatory Technology
ccpa privacy

CCPA Amendments to Be Finalized in October 2019

The California Consumer Privacy Act (CCPA) is scheduled to go into effect on January 1, 2020.

Compliance Alert
  • Cybersecurity
  • Privacy

Six Ways Financial Organizations Stumble Over KYD for Financial Crime Technology

Effective AML compliance requires a data governance program to address the acquisition and management of the data – also known as “know your data” or KYD. This is a hot topic for financial institutions monitoring client transactions for money laundering, terrorist financing, or other forms of financial crime.

  • AML and Financial Crime

Firms’ Non-Financial Misconduct Under FCA Spotlight Thanks to SM&CR

Sexual harassment and other forms of “non-financial misconduct” are now on equal footing with types of financial misconduct with the FCA. Firms and employees are at risk of regulatory sanctions for failure to fulfill the FCA’s evolving diversity and inclusion expectations.

  • Compliance

Joint Statement About Broker-Dealer Custody of Digital Asset Securities

A company that effects transactions in digital asset securities for its own account or the accounts of others must register as a broker-dealer under Section 15 of the Securities Exchange Act of 1934. In addition, these companies must meet the requirements of Rule 15c3-3 (the “Customer Protection Rule”) if they intend to custody digital asset securities.

Compliance Alert
  • Compliance

ACA Compliance Group sells majority stake in Cordium Malta Limited

ACA has sold its majority stake in Cordium Malta Limited (“CML”) to Adam de Domenico. ACA acquired the entity in August 2018 as part of the acquisition of Cordium.

Press Release
  • ACA News

Preventing Stormy Security Weather in Your Microsoft Office 365 Cloud Environment

Companies are relying increasingly on cloud service providers for conducting business, including storing data, hosting email, and more. But with the increasing regulatory focus on the risk of cloud data storage, is the forecast for cloud solutions stormy?

  • Cybersecurity

Capital One Breach Affects 100 Million Customers

On July 29, Capital One Financial Corporation announced that it had suffered a breach on July 19. On that date, an outside individual illegally accessed the personally identifiable information of over 100 million of its customers.

Cyber Alert
  • Cybersecurity

New York State's SHIELD Act Signed into Law

The SHIELD Act significantly expands New York State's breach notification law.

Compliance Alert
  • Cybersecurity