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:
Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).
We look at concerns of moving investment performance programs to a managed services solution with a third-party service provider and outline why these apprehensions can be alleviated by working with the right provider.
The Global Investment Performance Standards are no longer just a gold standard for the presentation of investment performance, but can also aid advisers to meet new regulations.
Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!
The updates to the SEC’s Names Rule modernizes the rule, but it also has implications for funds that use ESG terms in their name and strategy.
We compiled answers to the most common questions we get asked about the SEC’s proposed rules for enhanced disclosures of ESG investment practices.
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.