The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Third-party risk management (TPRM) is the process of monitoring, validating, and remediating risks presented by third-party vendors. TPRM helps ensure your vendors protect your data, comply with regulations, and provide sustainable services that meet your requirements. However, vendor risk management can be a costly and time-consuming task. Our vendor management outsourcing service (VMOS) allows your company to offload the vendor due diligence and risk assessment process. Unlike other vendor risk management solutions and vendor management software providers, ACA's VMOS will help your company save valuable time and resources in order to focus on more strategic tasks.
Our vendor management software allows you to track DDQ progress and vendor risk assessment results. Key features include:
Our vendor risk assessments are developed and managed by a team of information security risk analysts in ACA’s centralized, cost-effective analysis and review center (the ARC) in Pittsburgh, PA. The ARC’s dedicated vendor management outsourcing service team is overseen by an experienced vendor risk specialist and includes former senior managers in risk management, insider threat specialists, and data security officers from various industries, including financial services, banking, and healthcare. Over 750 clients and 2,000 vendors have chosen ACA to manage their vendor management process and mitigate third party risks.
Our tailored, proprietary vendor due diligence questionnaires (DDQ) include over 300 questions and are customized for each vendor type to provide an accurate assessment of possible risks. Topics include:
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
Jody Kochansky Joins ACA to Lead Product and Engineering
Before your fund enters the marketplace, you will need a distribution plan. This article provides distribution considerations.
These vulnerabilities serve as a potential gateway to exploit not only the targeted vCenter instances, but also the broader networks and systems they manage.
A critical security vulnerability was discovered in a WordPress plugin that allows attackers to enter the platform without credentials.
In response to investor interest in the ETF vehicle, firms are rolling their existing assets from another product into an ETF.
Jody Kochansky Joins ACA to Lead Product and Engineering
Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.
We are thrilled to announce that ACA Group has earned a spot on the prestigious 2024 ESGFinTech100 list, joining the ranks of the world's most innovative ESG technology providers.
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Join us on Thursday, November 12, 2024, at 11am ET, for an insightful webcast when we delve into the SEC’s Examination Priorities for 2025.