Insights
ACA Technology Announces Version 3.0 of ACA's Decryptex Trade Surveillance Solution
Key features include integration with ACA’s ComplianceAlpha®, single sign-on (SSO) support, and a redesigned user interface.
- Trade Surveillance
- ACA News
- RegTech
ACA Aponix Launches Online GDPR Awareness Training Course
ACA's e-learning course on the EU's General Data Protection Regulation (GDPR) is designed for employees of GDPR-implicated organizations.
- Cybersecurity
- Privacy
- ACA News
GIPS Standards Performance Record Portability
Portability refers to the ability of a GIPS-compliant firm to present a track record that was achieved at another firm. When one firm hires a portfolio manager, there is usually a desire to market the portfolio manager’s track record while employed at the prior firm.
- Performance
Market Exposure: The Importance of a Comprehensive Compliance Review
In 2002, the Sarbanes Oxley Act was enacted to augment the regulation of accounting and disclosures for public companies. This was in direct relation to aggressive accounting methods, the technology bubble, and other instances of corporate malfeasance.
- Performance
New prudential regime for investment firms: how are MiFID managers impacted?
The prudential framework is a new rulebook developed by the European Commission for investment firms. It is designed to be simpler and more proportionate to a firm’s operations. Last month we looked at the impact on Exempt CAD firms. Now we examine the regime’s impact on the capital and liquidity requirements on MiFID managers.
- Compliance
Don’t Get Burned. Do You Have Compliance Coverage this Summer?
Summer is finally here! With Memorial Day marking the unofficial start to summer it’s time to take a break, but in the compliance industry it’s not as simple as turning on your “out of office” and walking out the door. Compliance officers and managers need the assurance that they can leave the office and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients.
- Compliance
As Regulators Catch Up with the Crypto Craze, Investors Should Exercise Caution
Cryptocurrency and its applications within the financial industry are now mainstream news, with new instruments, products, and price fluctuations capturing headlines daily.
- Cybersecurity
New GIPS Standards Q&A’s Released
The GIPS Standards Technical Committee recently released three new GIPS Standards Q&A’s that are all effective as of April 18, 2018.
- Performance
US Turns Up AML Compliance Heat on RIAs, Broker-Dealers and Others
On May 11, 2018, broker-dealers and other financial institutions currently covered by the US Anti-Money Laundering (AML) regime will need to become compliant with FinCEN’s new customer due diligence
- AML and Financial Crime
What Additional Data Do Quarterly Form PF Filers Need?
Hedge funds and hedge fund advisers that need to file Form PF on a quarterly basis may already know the challenges they face. This blog post summarizes what additional information you need as a quarterly filer to help you prepare for the next submission deadline.
- Compliance