Insights
Top 5 Reasons to Attend the Performance Track at ACA's Spring 2019 Conference
In less than two months, hundreds of compliance and performance professionals will be arriving in Miami for ACA’s Spring 2019 Compliance and Performance Conference. This year’s event will mark the fifth anniversary of ACA’s performance track, focused exclusively on issues related to performance measurement and the GIPS standards.
- Events
The SEC’s Busy February for Registered Investment Companies
The U.S. Securities and Exchange Commission (SEC) and its staff have been busy since the end of the recent partial government shutdown. While there is certainly much work behind the scenes we do not get to see, there is plenty of public work that registered investment companies should note. For instance, the following matters occurred during the last two weeks of February
- Compliance
Regulatory Cyber Alert: UK Financial Conduct Authority Releases Cybersecurity Insights
On March 8, the UK Financial Conduct Authority (FCA) released the publication Cyber security – industry insights. The document compiles insights derived from multiple industry Cyber Coordination Groups (CCGs) run by the FCA since 2017, focused on the theme of improving cybersecurity practices within financial sectors.
- Cybersecurity
The Impact of Fee Compression on Risk Management
The bank and non-bank asset management industry is struggling with fee compression which has sparked a series of layoffs that you may have read about in recent news.
- Compliance
ACA Aponix Launches Microsoft Office 365 Security Assessment
ACA's new service reviews the security of firms' Office 365 environments.
- Cybersecurity
Reports of FCA Spot Checks on AML and Sanctions Controls: Separating Fact and Fiction
Press coverage this week picked up a story about the Financial Conduct Authority (“FCA
- AML and Financial Crime
Investment Firm Regulation Update: Agreement Reached on Next Steps for New Prudential Regime for Investment Firms
The new prudential framework has been developed by the European Commission (EC) and will soon come into force for MiFID investment firms. For some, this will be the first time any onerous capital, liquidity and reporting regime has applied to them. The ‘prudential holiday’ that many commodity trading firms have enjoyed will soon be coming to an end.
- Compliance
- FCA
ACA Technology Solutions Wins Awards from HFM Technology, Alt Credit Intelligence, and Fund Intelligence
ACA Technology is the recipient of several recent industry awards.
- RegTech
Senior Managers & Certification Regime: 6 major challenges for firms
As firms look to address the FCA’s Senior Managers and Certification Regime (“SM&CR”), ahead of the December 9 deadline, we observe six common themes and challenges emerging from their project implementation.
- Compliance
Update Coming to the Three Lines of Defense Model
The Three Lines of Defense Model has gained popularity as the de facto model for organizing governance, risk management and internal control roles and responsibilities since the Institute of Internal Auditors (IIA) published “The Three Lines of Defense in Effective Risk Management and Control,” position paper in 2013. The IIA recently announced that they would embark on a key project to refresh and update this document.
- AML and Financial Crime