Facing the FCA: Managing Scrutiny and Strengthening Compliance with Health Checks and Mock Exams
Join us on Tuesday, February 11, 2025, at 2pm GMT when we delve into practical strategies to enhance your firm's FCA compliance readiness.
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
Case Study: Streamlining Performance Calculations and Vendor Due Diligence
Our investment performance team helped a fund of fund manager meet the SEC’s Marketing Rule requirements and provide outsourced performance calculations to help them expand into the SMA business.
Case Study
- Performance
- SEC Marketing Rule
ILPA's Revised Reporting Template for the Private Equity Industry
The Institutional Limited Partners Association (ILPA) recently released a new version of the ILPA Reporting Template.
Compliance Alert
- Performance
Bridging ESG Data Gaps with Technology
The goal is for companies to provide transparent, robust, and comparable ESG data that meets the needs of all stakeholders. However, aligning ESG data with investor and regulatory expectations is a complex goal.
Article
- ESG
Case Study: Outsourcing to Streamline IRR Calculations for Fundraising Success
Our investment performance team collaborated with a global private equity and credit manager to calculate IRRs and associated multiples required for meeting bank platform standards during fundraising.
Case Study
- Performance
Regulatory Considerations for Continuation Funds
Asset managers are turning to GP-led secondary transactions, or continuation funds, to navigate high interest rates and limited liquidity. This growing practice helps manage illiquid assets but has raised SEC concerns over conflicts of interest and investor risks.
Article
- Compliance
- SEC
From Policy to Practice: Building an Effective Firm-Wide Regulatory Surveillance Program
We’ve developed a comprehensive checklist to help you assess the effectiveness of your compliance oversight, monitoring, and surveillance programs.
Article
- RegTech
- eComms Surveillance
- Trade Surveillance
News
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group Revolutionizes ESG Data Management with Enhanced ACA Vantage for ESG Platform
ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Upcoming events
The Seven Deadly Sins of ICARA Compliance: Navigating Pitfalls and Embracing Best Practices
Join us on 12 February 2025 as we highlight common pitfalls in ICARA implementation, including inadequate liquidity stress testing, poor wind-down planning, and unclear risk linkage.
Webcast
Global Focus on Financial Crime: Emerging Regulatory Trends and Compliance Strategies Across the U.S., EU, and UAE
Join us as our esteemed speakers explore trends in financial crime, examine key regional regulatory priorities, and provide actionable insights to strengthen AML and CFT programs.
Webcast