city blocks birds eye view night

Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC hot topics

Brexit insights and alerts

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

Regulatory technology insights and alerts

Our thoughts on the RiskMutation™ phenomenon affecting the future of risk and compliance

Insights and alerts related to the SEC's new Marketing Rule

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

1 of
Roads and roundabouts

Protecting Your Business as Offices Reopen: A Seven Step Cybersecurity Action Plan for Physical and Hybrid Work Environments

July 17, 2021

ACA Aponix’s cybersecurity experts have developed the following action plan to help your firm review, revise, and implement a strong cyber program that will help protect your firm against reputational and financial damage as well as meet regulatory obligations, no matter what type of work model you’re employing.

Article
  • Cybersecurity
Roads and roundabouts

EU Cross Border Fund Distribution Directive and Regulation - Raises More Questions than it Answers?

July 15, 2021

Marketing rules have traditionally taken a jurisdictional rather than EU wide harmonious approach. With new cross border distribution rules coming into play on 2 August 2021, we examine the impact on AIFs and UCITS funds.

Compliance Alert
  • Compliance
  • ComplianceAlpha
  • Brexit

SEC to Investment Advisers: Cybersecurity Must Be a Comprehensive, Continually Evolving Program

July 15, 2021

This was the topic of discussion between the SEC’s Keith Cassidy, Head of the SEC’s Technology and Controls Program, and ACA Aponix® partner Mike Pappacena, during ACA’s spring conference. They discussed why the threat of a cyber-attack is so acute for investment advisers, how they can best protect themselves and their clients, and what the SEC expects from investment advisers’ cyber programs. Here are some highlights from their conversation.

Cyber Alert
  • Cybersecurity

ACA Group Hires New Chief Commercial Officer Aimee Egan

July 14, 2021

ACA Group (ACA) today announced that Aimee Egan has joined the firm to lead all go-to-market functions (including Sales & Marketing) in a newly created role of Chief Commercial Officer. Aimee will join ACA’s executive leadership team and will oversee the execution of ACA’s growth plan.

Press Release
  • ACA News
abstract blue shapes connected by dots of light

Active Supply-Chain Ransomware Attack Against Kaseya VSA

July 02, 2021

Kaseya has warned of an active attack against a number of its customers using Kaseya’s VSA remote monitoring and management (RMM) platform. The attackers are using the platform to deliver REvil ransomware to systems, demanding $44,999 in funds to reclaim access to data.

Cyber Alert
  • Cybersecurity

FinCEN Issues AML Priorities

July 02, 2021

FinCEN published its first government-wide priorities for AML on June 30, 2021. The priorities are intended to assist financial institutions in their efforts to meet obligations under regulations designed to combat money laundering and counter terrorist financing.

Compliance Alert
  • AML and Financial Crime
Architectural image - window office block

Majority of Firms in Breach of Transaction Reporting Requirements

July 01, 2021

Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.

Press Release
  • Compliance
  • Trade & Transaction
  • ACA News
  • FCA
ACA Threat Intelligence Alert Blog Image

PrintNightmare: Windows Zero-Day Vulnerability Detected

July 01, 2021

A Windows vulnerability was detected that can enable bad actors to potentially take control of an affected system. Find out how to protect your systems.

Cyber Alert
  • Cybersecurity
AdobeStock_317630718 1200x900.jpeg

A Guide to the Presentation of Performance Under the New Marketing Rule

June 30, 2021

In this guide we talk about changes and how firms can prepare to present performance in line with the new rule and actions they can take now in preparation for the final compliance date set for November 4, 2022.

Report
  • Performance
  • SEC Advertising Rule
ESG trees 1200x900.jpeg

CFA Institute Releases ESG Disclosure Standards for Investment Products

June 30, 2021

Following the release of the CFA Institute's Exposure Draft of ESG Disclosure Standards for Investment Products, we outline what the standards include, the related timelines, and what these changes mean for firms.

Compliance Alert
  • ESG
  • Performance
  • Compliance
  • GIPS Standards