SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
Webcast
Vendor Diligence and Management
Third-party risk management (TPRM) and vendor due diligence
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.
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Solution Spotlight
Our Vendor Management Software
Our vendor management software allows you to track DDQ progress and vendor risk assessment results. Key features include:
- Vendor Risk Dashboard — View key metrics (e.g., vendors diligenced, progress of diligence reviews, and vendor comments)
- Vendor Registry — View vendor data in centralized location (e.g., product lines, type of diligence performed, and contracts)
- Vendor Risk Matrix — View all risks identified (e.g., ratings, issues), vendor communication, and mitigation/remediation activities
- Questionnaire Status — Track the completion status of vendor DDQs and on-site reports
Why work with us?
Dedicated Team Of InfoSec Risk Analysts
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 Vendor Risk Assessments
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:
- General Data Protection Regulation (GDPR) compliance
- Cyber awareness training
- Governance
- Physical and environmental security
- Network security, infrastructure, and operations
- Organizational overview and structure
- Financials
- Legal and compliance
- Vendor management and oversight
- Change management
- Cloud services
- Access controls
- Mobile device management
- Resiliency
- Asset management
- Data loss prevention
Why ACA?
Clients
750+
Vendors diligenced
2,500+
Latest Insights
SEC Tightens Record-Keeping Requirement on RIAs Reporting Performance
The amendments to Investment Advisers Act Rule 204-2 will require advisers to maintain additional records related to the calculation and distribution of performance information.
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MiFID II for Asset Managers: Communications Record Keeping
Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.
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5 Ways to Meet Regulators' Expectations Regarding Electronic Communications
The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise
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ACA and Ashland: Why We’re Excited to be the Best GIPS Compliance Verification and Performance Team in the World
Earlier this month, ACA announced that it is set to acquire Ashland Partners & Company, LLP's GIPS compliance verification and performance practice. When this transaction closes in June, ACA Performance Services will offer the most experienced team of GIPS compliance verifiers in the world, servicing over 1,000 clients annually, including 49% of the top 100 managers of institutional assets worldwide (as determined by Pensions & Investments magazine).
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Anticipated Behavior Profile
Financial institutions (“FI’s”) are required by Anti-Money Laundering (“AML”) regulations to perform risk-based due diligence for their customers and prospective customer.
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Calculating Assets Under Management vs. Assets Under Advisement
The SEC has been paying close attention to discrepancies in Form ADV filings, specifically reviewing assets under management. When Annual Updates are due, it’s important to pay close attention to how you calculate your regulatory assets under management (RAUM).
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News
SEC Private Fund Unit Veteran Michele Foldenauer Joins ACA Group to Co-Lead Tech-Enabled Mock Examination Team
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
ACA Group Named a 2024 DataTech50 Provider
ACA Group acknowledged as one of the most innovative tech companies offering data management solutions in financial services
ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.