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

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

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

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5 Best Practices for Building an Effective Vulnerability Management Program

This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.

Cyber Alert
  • Cybersecurity
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Don’t Let Third Parties Be Your Downfall — How to Ensure Your Vendors are Protecting Your Assets

In the wake of the recent Equifax breach that p

Cyber Alert
  • Cybersecurity

What Investment Advisers Need to Know about Regulatory Cybersecurity

I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice.

Cyber Alert
  • Cybersecurity

7 Ways You Can Secure Your Network Endpoints

An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.

Cyber Alert
  • Cybersecurity

Highlights from the 21st Annual GIPS Standards Conference

The 21st Annual GIPS Standards Conference was held in San Diego on September 14-15 with over 300 attendees. A number of topics were covered, including important aspects of the proposed 2020 GIPS Standards updates.

Article
  • Performance

Protecting Your Business from All Angles: Announcing ACA Aponix's 2017 Cybersecurity Awareness Month Theme

Cyber incidents can have devastating effects on business of all sizes.

Cyber Alert
  • Cybersecurity

OCIE Publishes Marketing Risk Alert

On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advertising Rule”). The risk alert highlights the compliance issues most commonly noted by the SEC’s examination staff as part of a recent “Touting Initiative.” That initiative, which consisted of reviews of approximately 70 investment advisers, focused on the use of “accolades” in advertising.

Compliance Alert
  • Compliance

5 Things Investment Advisers Need to Know about Regulatory Investment in Trade Surveillance

The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.

Article
  • Regulatory Technology

MiFID II for Asset Managers: Communications Record Keeping

Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.

Compliance Alert
  • Compliance

5 Ways to Meet Regulators' Expectations Regarding Electronic Communications

The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise

Article
  • Compliance