Modern Compliance: Capturing Mobile and Social Media Communications
Join ACA and SnippetSentry as we explore global communication capture strategies to reduce compliance risks and enhance your compliance program.
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
U.S. Department of Labor Offers Cybersecurity Guidance for Retirement Plan Administration
On April 14, the U.S.DOL issued a news release with guidance on cybersecurity for retirement plan administration aimed at plan sponsors, fiduciaries, record-keepers and participants of plans regulated by ERISA, the federal law that sets the minimum standards for retirement and health plans in private industry. Get the details on this guidance as well as our recommendations.
Cyber Alert
- Cybersecurity
GIPS Compliance & Verification FAQ
There are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards. In the following, we describe a few of the most common questions that firms often ask as they consider taking on this initiative.
Article
- Performance
Microsoft® Patches Critical Vulnerabilities; Zoom Vulnerability Discovered
Learn about the new software patches Microsoft released on April 14, 2021 to address 19 critical vulnerabilities as well as a new Zoom vulnerability discovered at the Pwn2Own white hat hacker event.
Cyber Alert
- Cybersecurity
SEC Keeps ESG Momentum with Release of Risk Alert
On Friday, April 8, 2021, the SEC’s Division of Examinations issued a Risk Alert for ESG Investing, putting an exclamation point on ESG being a top priority for the Commission.
Compliance Alert
- ESG
- Compliance
- SEC
The Microsoft® Exchange® Server Breach: What’s Next and What To Do
When Microsoft announced patches for the four “zero-days” that were revealed on March 2, 2021, the full extent of the vulnerability was not known. Security experts continue to notify victims, coordinate remediation, and suggest remaining vigilant for “stage 2” of this attack, i.e., further exploitation of the backdoors left on the already-compromised servers.
Article
- Cybersecurity
ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs
ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.
News
- ComplianceAlpha
- RegTech
News
ACA Group Acquires Financial Compliance Firm, FINOP Consulting
Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.
ACA Group Recognized on ESGFinTech100 Among Top Industry Innovators
We are thrilled to announce that ACA Group has earned a spot on the prestigious 2024 ESGFinTech100 list, joining the ranks of the world's most innovative ESG technology providers.
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
Upcoming events
The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Webcast