Insights
The Real Estate Manager's Path to Compliance with the GIPS Standards
In the current real estate investment environment, many firms want to understand the core components of the GIPS standards before committing the resources needed to attain compliance. Firms that already claim compliance seek to mitigate the risk of becoming non-compliant. This paper provides useful information for both objectives.
- Performance
ACA Group and the Investment Adviser Association Announce Strategic Partnership
ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.
- Compliance
Microsoft® Reports “Zero-Day” Attacks Using Tainted Office® Files
Microsoft reports a previously unseen “zero-day” attack that uses Office files tainted with specially crafted Active X controls. Once opened, these controls create a vulnerability that enables perpetrators to perform remote code execution.
- Cybersecurity
ACA’s Inaugural Compliance Technology Benchmarking Survey is Now Open
This survey, sponsored by ACA’s Compliance Leaders Network (C-LEAD), will assess how compliance executives are using traditional and emerging compliance technology to better identify risk and create efficiencies within the compliance program. The results of this survey will provide participants with a deeper understanding of how their peers are maximizing the value of their technology spend.
- Compliance
FCA Provides AFMs Guidance and Warning on Authorised ESG and Sustainable Investment Funds
The FCA's recently issued a warning to AFMs firms to improve the quality and clarity of ESG/sustainable investment fund applications, providing guiding principles help funds comply with existing requirements. We outline what this means for firms.
- ESG
- Compliance
2021 Compliance Testing Survey: New SEC Marketing Rule Now Top Compliance Concern
Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey. Advisory firms have until November 4, 2022 to come into full compliance with the rule.
- Compliance
- SEC Marketing Rule
China Passes Data Privacy Law That Affects Chinese and Foreign Companies
The Personal Information Protection Law of the People's Republic of China is scheduled to go into effect on November 1, 2021. This new law affects all companies and other entities, both inside and outside of China, engaged with personal information about individuals residing in China.
- Privacy
- Cybersecurity
Recent Institutional RFP Mandates Requiring GIPS Compliance of Alternative Investment Managers and OCIOs
Each quarter, we provide our feedback on recent institutional mandates related to compliance with the Global Investment Performance Standards (GIPS®); how those mandates ask about the calculation and presentation of performance; and insight into the demand for compliance with the GIPS standards and how that demand is evolving over time.
- Performance
ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends
ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.
- Compliance
- ComplianceAlpha
- ESG
- GIPS Standards
- RegTech
- Cybersecurity
- Performance
- Privacy
SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures
The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.
- Cybersecurity
- Compliance