ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"
Compliance Management Software and Managed Services
Streamline compliance program management with technology and managed services support.
Manage compliance program activities, policies and procedures, and more from a single location.
Our Compliance Management Solution helps firms manage their compliance program activities and identify potential issues effectively and efficiently. Key features include automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, document management and reporting, visual analytics, and more.
Key features and benefits
- Identify compliance risks and requirements with corresponding controls and procedures
- Analyze the results of compliance tests and identify items of interest (IOI)
- Use visual analytics to track progress and spot potential issues
- View and track compliance tasks with a Microsoft® Outlook®-integrated calendar
- Create customized calendar events and monitor the resolution of IOIs
- Receive notifications when compliance activities require your attention
- Upload, edit, and maintain compliance policies and procedures
- Maintain documents supporting compliance testing results and issue resolution
- Run standard reports, subscribe to and schedule reports via email, and export data to Microsoft® Excel®
- Automatically parses documents and extracts provisions using natural language processing (NLP)
- Creates a searchable database of legal document text for easy reference
- Assign provisions to groups as owners
- Create compliance activities related to provisions for tracking and evidence
- Bulk upload documents
- Use the ACA Master Reference Library to access and customize reference compliance content updated by ACA’s compliance professionals
- Seamlessly access your firm’s enterprise system via single sign-on (SSO)
Regulatory technology news and insights
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Join ACA Aponix for a review of the top 5 concerns identified by our clients and the actions they plan to take to increase their first line of defense against bad actors.