Insights
Highlights from the 2018 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey
Benchmarking your firm’s cybersecurity program against those of your peers is a smart way to identify the compliance gaps your firm should address. Here are the results of the 2018 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey.
- Cybersecurity
Top Reasons to Attend ACA’s Spring 2019 Compliance and Performance Conference
ACA’s Spring 2019 Compliance and Performance Conference is headed to sunny Miami!
- Events
2019 GIPS Compliance Notification Form Now Available
Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.
- Performance
FCA Speech Indicates Continued Focus on Market Abuse Regulation in the UK
Julia Hoggett, FCA's Director of Market Oversight, speech on the implementation of the Market Abuse Regulation in the UK.
- Trade Surveillance
- FCA
ACA Compliance Group Grows U.S. Compliance Team with Former CCOs, Attorneys, and Regulators
In 2018, ACA Compliance Group expanded their team to 270+ compliance professionals (and growing) with new employees who bring a wealth of industry experience, enthusiasm, and talent.
- ACA News
ACA Aponix Achieves HITRUST CSF Assessor Designation
ACA Aponix® has been designated as a HITRUST CSF Assessor by HITRUST. This achievement allows us to provide services using the HITRUST CSF, a comprehensive security framework that addresses the multitude of security, privacy, and regulatory challenges facing organizations in order to comply with healthcare (HIPAA, HITECH), third-party (PCI, COBIT), government (NIST, FTC), and other industry-specific regulations and standards.
- Cybersecurity
UK Self-Assessment: Post-Submission Challenges
The 2017/18 UK tax return deadline has now passed, but did you know there are a range of post-submission challenges that may impact you - some of which you may not be aware of? These include, Disappearing Payments on Account, Delays in Processing Amended Tax Returns, Ongoing Class 2 National Insurance Problems and Scams. Our personal tax specialist, Paul Webster, provides guidance on how to address these challenges.
- Compliance
Risk-Based Transaction Monitoring Through Analytical Segmentation
Analytical segmentation modeling (ASM) is one way to design an effective AML monitoring strategy through the development of a quality model to achieve segmentation. ASM involves combining customer or bank accounts with similar properties and transaction behavior to make it easy for banks to formulate risk signals based on their various classes of customers. This model sets threshold levels for the segments monitored by identifying patterns based on the groups of similar customers and/or accounts.
- AML and Financial Crime
6 Ways to Stay Ahead of Financial Regulators with RegTech
Regulators globally continue to invest in developing their technological capabilities to quickly and efficiently manage data, and they expect investment firms to do the same. In this blog post, we discuss what you need to know and how regulatory technology solutions can help.
- RegTech
ACA 2019 Partner Announcements
ACA Compliance Group has promoted Dan Campbell, Kimberly Daly, and Kent Wegrzyn to Partner. Each has contributed significantly to the growth of ACA and has provided exemplary service to their clients.
- ACA News