Insights

November 09, 2017

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

November 09, 2017

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

October 30, 2017

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

October 27, 2017

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

October 23, 2017

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.

October 19, 2017

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

October 11, 2017

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

October 09, 2017

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.

September 27, 2017

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

September 25, 2017

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.