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Insights

At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC news and hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

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ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

Regulatory change is here for Private Fund Advisers

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Electronic Communications Monitoring – A No-Brainer for CCOs

In the five months since the SEC’s Office of Compliance Inspections and Examination (“OCIE”) issued request letters to registrants focused on advisers’ use of electronic communications, co

Article
  • Compliance
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Technology Enhancements for Beneficial Ownership Implementation

In May 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued its final rule on beneficial ownership with respect to customer due diligence ("CDD") requirements.

Article
  • AML and Financial Crime
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7 Cybersecurity Trends to Plan for in 2018

In the past year, it’s become apparent that cyber breaches are on the rise, and they are crippling businesses in their wake.

Cyber Alert
  • Cybersecurity
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5 Best Practices for Building an Effective Vulnerability Management Program

This is the first post in a series of cybersecurity tips and tricks from ACA Aponix's team of experienced consultants.

Cyber Alert
  • Cybersecurity
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Don’t Let Third Parties Be Your Downfall — How to Ensure Your Vendors are Protecting Your Assets

In the wake of the recent Equifax breach that potentially affected the personal data of more than 143 million Americans, Equifax is pointing the finger at one of its third-party vendors as the cause.

Cyber Alert
  • Cybersecurity
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What Investment Advisers Need to Know about Regulatory Cybersecurity

I recently joined ACA as Managing Director and Head of ACA Aponix’s Global Regulatory Cybersecurity Practice.

Cyber Alert
  • Cybersecurity
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7 Ways You Can Secure Your Network Endpoints

An endpoint is any device connected to your enterprise network — laptops, PCs, and printers, for example.

Cyber Alert
  • Cybersecurity
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Highlights from the 21st Annual GIPS Standards Conference

The 21st Annual GIPS Standards Conference was held in San Diego on September 14-15 with over 300 attendees. A number of topics were covered, including important aspects of the proposed 2020 GIPS Standards updates.

Article
  • Performance
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Protecting Your Business from All Angles: Announcing ACA Aponix's 2017 Cybersecurity Awareness Month Theme

Cyber incidents can have devastating effects on business of all sizes.

Cyber Alert
  • Cybersecurity
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OCIE Publishes Marketing Risk Alert

On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advertising Rule”). The risk alert highlights the compliance issues most commonly noted by the SEC’s examination staff as part of a recent “Touting Initiative.” That initiative, which consisted of reviews of approximately 70 investment advisers, focused on the use of “accolades” in advertising.

Compliance Alert
  • Compliance