Spotlight Blog

Insights, news, and guidance from ACA's compliance and technology professionals

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How RegTech Helps Compliance Teams
December 5, 2018

Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.

Checklist for CCOs
November 29, 2018

With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.

Staff Support Handshake
November 28, 2018

The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis. 

Brexit: the impact on your marketing and distribution activities
November 21, 2018

With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions.  With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.

November 16, 2018

Did you miss our California Consumer Privacy Act webcast? ACA Aponix's Alex Scheinman shares what you need to know about the regulation and how you can prepare for the compliance deadline.

NorthPoint Case Study
November 15, 2018

This case study details how ACA's NorthPoint Data Management Solutions helped a large OCIO manager solve challenges related to the Form ADV requirement to provide derivatives exposure for investments made via Separately Managed Accounts (SMAs) based on day-over-day data.

ACA Aponix taking control of vendor risk
November 9, 2018

ACA's Jeff Rowley and Sara Laverick share a 6-step approach to stay on top of the vendors your company uses, and to ensure that their cyber and technology risks are accounted for and under control.

November 7, 2018

ACA’s Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.

November 5, 2018

As the 2018 finish line approaches, it is necessary to start looking ahead to how you want to shape your compliance program for the coming year. Last week, we discussed how to build the foundation of your budgeting process. This week, we asked the many former regulators and CCOs on ACA’s staff for their perspective on the most crucial components of building a compliance budget.

November 2, 2018

Did you miss our vendor risk management webcast? ACA Aponix's Marc Lotti shares tips from the session for a team approach to vendor risk management.

November 1, 2018

This case study explains how a private equity firm utilized ACA's M&A diligence and advisory services to determine the security of their target's integrated platform and necessary investment in technology, processes, and personnel to support their investment thesis.

November 1, 2018

The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.

October 31, 2018

ACA Compliance Group's 2018 Fall Compliance Conference was held from October 3rd through 5th at the Hyatt Regency Resort Resort at Gainey Ranch in Scottsdale, Arizona.

October 31, 2018

As year-end nears, compliance teams are beginning to plan for 2019. To assist with the annual budgeting process, ACA has compiled the following information to help firms stretch limited resources and keep pace with the regulatory developments shaping next year’s compliance efforts.