Building a Gold Standard Compliance Program, Session 4: Implementation - Part 2
Join us for part four of our live webcast series about creating a best-in-class compliance program.
The rise in cyber-attacks has highlighted the importance of developing robust policies, plans, and procedures to better protect your company from data breaches and efficiently recover from a cyber incident or significant business disruption. We can help your company implement a comprehensive information security program that enables you to identify and manage risks, foster a culture of security, and prepare for the unforeseen, but inevitable, incident with business continuity and incident response planning.
Aponix Protect helps firms address evolving cyber risks and threats to ensure that their cybersecurity needs are covered year-round. This solution is available in three tiers, each one designed to provide firms with a flexible, robust, responsive, and cost-effective cybersecurity program.
According to the SEC proposed Rule 206(4)-9, RIAs and private funds must now submit a confidential report to the SEC within 48 hours from when a “significant cyber incident” is discovered.
The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.
Cybercriminals have become service providers offering Phishing as a Service (PaaS) on the dark web, with products such as one-time phishing kits or subscription offers to help others launch multiple attacks for a monthly fee.
A recent press release from Kaspersky warns of a malware that can steal users' personal information. We discuss how it works and our guidance for preventing an attack.
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.
The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
Join us for part four of our live webcast series about creating a best-in-class compliance program.
This webcast will break down the restricted activities and limitations to preferential treatment established by the SEC's Private Fund Reform Rule.
Learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.