Insights
ACA Announces Version 3.5 of ACA’s Decryptex Surveillance Technology
Key features include new and enhanced algorithms, vendor integrations for expert network or meeting calendar information, reporting enhancements, and user interface improvements.
- RegTech
- Trade Surveillance
Case Study: ACA's M&A Diligence and Advisory Services for a Large Cap PE Firm Interested in Acquiring a Healthcare SaaS Provider
This case study explains how a large cap private equity firm utilized ACA's M&A diligence and advisory services to assess the quality and sophistication of the target’s core IT software and systems.
- Cybersecurity
Liquidity Risk Management Program Rule Survey
We invite you to participate in our second Liquidity Risk Management Program Rule Survey. We understand there is a continued need for transparency and insight into the various ways mutual funds, investment advisers, and sub-advisers are approaching the liquidity risk management program rule. By participating in this survey, you can help us identify trends in how firms are complying with, or getting ready to comply with the rule. Results will be presented later this spring so you can implement some of the most common practices at your firm.
- Compliance
Addressing the Rising Cost of Non-Compliance with RegTech
We discuss how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
- RegTech
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