Insights
The Team Approach to Managing Vendor Risk
Did you miss our vendor risk management webcast? ACA Aponix's Marc Lotti shares tips from the session for a team approach to vendor risk management.
- Cybersecurity
Case Study: ACA's M&A Diligence and Advisory Services for a Private Equity Firm
This case study explains how a private equity firm utilized ACA's M&A diligence and advisory services to determine the security of their target's integrated platform and necessary investment in technology, processes, and personnel to support their investment thesis.
- Cybersecurity
Code of Ethics/Personal Trading Technology – Understanding the Three Key Benefits
The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.
- RegTech
Planning Your 2019 Compliance Budget Part One: Building the Foundation
As year-end nears, compliance teams are beginning to plan for 2019. To assist with the annual budgeting process, ACA has compiled the following information to help firms stretch limited resources and keep pace with the regulatory developments shaping next year’s compliance efforts.
- Compliance
Wrap-Up of ACA's Fall 2018 Compliance Conference
ACA Compliance Group's 2018 Fall Compliance Conference was held from October 3rd through 5th at the Hyatt Regency
- Events
UK Budget 2018
The UK’s Chancellor of the Exchequer has delivered his 2018 Budget. This was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.
- Compliance
MSRB Published Revised FAQs with Respect to New MSRB Rule G-40
On September 17, 2018, the Municipal Securities Rulemaking Board (“MSRB”) published a revised set of frequently asked questions (“FAQs”) regarding the application of MSRB Rule G-40 to advertising by municipal advisors.
- Compliance
Growing Interest for Asset Owners to Claim Compliance with the GIPS Standards
The popularity and worldwide adoption of the GIPS standards by investment management firms is largely due to demand by asset owners. In the interest of risk management, asset owners increasingly require external investment managers to comply with the GIPS standards. Recently, more asset owners have begun to apply the same principles to their own performance reporting and ACA Performance Services is seeing growing interest in attaining GIPS compliance among the asset owner community.
- Performance
OCC AML Priority To Target Regulatory Change
The US Office of the Comptroller of the Currency (OCC) has indicated that it will be focusing on the effectiveness of anti-money laundering (AML) systems and controls after including the topic on its list of FY 2019 annual priorities. For OCC-regulated banks, this means exams will concentrate on how up-to-date AML and Bank Secrecy Act (BSA) programs are with evolving threats and new rules.
- AML and Financial Crime
How ETP Managers Can Ensure Compliance with Continued Listing Standards
In early 2017, the SEC approved rule-change proposals establishing continued listing standards for passively and actively managed exchange-traded products. More specifically, the rules require ETP issuers and managers to adopt new monitoring and oversight protocols to ensure continued compliance with the applicable listing standards. In the event an ETP falls out of compliance with the standards, the Manager must promptly notify the appropriate Exchange.
- Compliance