Insights
White Paper: 2020 Liquidity Risk Management Program Rule Survey Results
To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.
- Compliance
Rise in Attacks and Losses Linked to Office 365 Misconfiguration
Recent reports from the FBI’s Internet Crime Complaint Center indicate a staggering rise in the rate of business email compromise due to exploitation of Microsoft Office 365 and other cloud-based email services.
- Cybersecurity
November 2020 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter. Our latest newsletter contains a year-end compliance checklist to help broker-dealers confirm they have completed their compliance obligations for 2020.
- Compliance
Lessons Learned from the Scariest Cyber Breaches of 2020
Each year, ACA reviews the most terrifying cybersecurity breaches of the year. Watch Raj Bakhru and Marc Lotti discuss causes and impacts of major cyber-attacks in our Scariest Cyber Breaches of 2020 webcast, now available on demand
- Cybersecurity
RiskMutation™ Strategic Roadmap: Integrating RegTech
RegTech can help firms navigate the future of risk and compliance in the age of RiskMutation™ by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.
- RegTech
- RiskMutation
FCA Announces 15-Month Transition Period for its Post-Brexit Handbook
The FCA recently provided updates about the impact of on-shoring EU legislation at the end of the Brexit transition period. We examine what this, the Temporary Transition Power, and changes to the FCA's handbook mean for firms.
- Compliance
- FCA
OCC Fines Bank $85M for Compliance and IT Risk Failures
On October 14, the Office of the Comptroller of the Currency (OCC) issued a news release indi
- Bank Asset Management
The Value of GIPS Compliance: 2020 OCIO Survey Results
ACA and Curcio Webb conducted an industry survey in August 2020 focusing on the value of GIPS compliance among OCIOs. The results show a growing interest in compliance with the 2020 GIPS standards.
- Performance
FCA Sets Sights on Private Markets and Portfolio Companies
The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.
- Compliance
- FCA
Fireside Chat with Phil Venables and Mike Pappacena
We were delighted to host Phil Venables, Board Director and Senior Advisor (Risk and Cybersecurity) for Goldman Sachs at our first-ever Cyber Week. This fireside chat with Mike Pappacena, Partner, ACA Aponix is now available to watch on-demand.
- Cybersecurity