Insights
Talking to Your Family and Friends About Cybersecurity
The recent increase in high-profile cyber incidents have put millions of people around the world at risk for identity theft and other cyber-crimes. This blog post contains tips and information you can share with your family and friends about staying safe online.
- Cybersecurity
- Cybersecurity Resources
FINRA Reminds Firms of Supervisory Obligations Related to Outsourcing to Third-Party Vendors
FINRA recently issued a notice to members reminding them of their third-party vendor supervisory obligations. It provides guidance regarding conducting diligence, onboarding the vendor, and supervision of the vendor's activities.
- Compliance
Now Open: 2021 ACA Group and NSCP Cybersecurity Programs Survey
We're pleased to announce that we've again partnered with the National Society of Compliance Professionals (NSCP) to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry.
- Cybersecurity
Regulatory Changes Force Private Fund Managers to Re-Focus on IRRs or Face Fundraising Hurdles
In this blog we will try to address how fund managers can overcome this fundraising hurdle, and some key misconceptions.
- Performance
IFPR is Just 100 Days Away: Are You Ready?
There are just 100 days until the Investment Firm Prudential Regime #IFPR comes into force. Are you ready? We've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline.
- Compliance
- Managed Services
Ransomware 101 Part 2: How to Prevent and Detect a Ransomware Attack
Our Ransomware 101 blog series addresses multiple aspects of the ransomware issue, including what you should know and what you should do to protect your firm, your clients, and your finances. In part one, we discussed the evolving and growing threat of ransomware. In this article (part two), we’ll provide a framework for what your organization can do to prevent and detect ransomware attacks.
- Cybersecurity
- Cybersecurity Resources
NFA Announces Amendments to Interpretive Notice 9002 Regarding Branch Office Registration
On September 16, 2021, the National Futures Association (“NFA”) issued a Notice to Members I-21-28 regarding changes to the definition of a branch office under NFA Interpretive Notice 9002. The rule was a response from the NFA in the recent trend in hybrid work environments as more employees are working from their homes.
- Compliance
Hedge Fund Quarterly Update 2021 Q3
Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.
- Compliance
Private Markets Quarterly Update 2021 Q3
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
- Compliance
ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering
The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.
- ACA News