Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
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 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 VMOS 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 FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms.
Web hosting giant GoDaddy® has suffered a breach affecting thousands of users, per reports of security researchers. The data breach occurred in October 2019, but was first discovered on April 23rd of this year.
The NFA provided relief to CTAs that are also registered with the SEC to present past performance to ECPs on a gross basis in non-public, one-on-one presentations. The CFTC also proposed changes to the Form CPO-PQR revising the scope of information collected.
Due to the ongoing COVID-19 pandemic, the National Futures Association has suspended its applicant fingerprinting service for its registrants and their principals and associated persons. The social distancing requirements have made it difficult to comply with the requirements set forth in CFTC Regulation 3.10 and 3.12.
In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must be flexible to adapt to fresh challenges while maintaining business disciplines, systems and controls. This complimentary training webcast is designed to help ensure that staff, regardless of their role, do not forget their core compliance responsibilities during this period.
With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.
Join our team in NYC at the MFA Legal & Compliance Conference.