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
Registered Investment Company 2020 Regulatory Recap
During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.
Compliance Alert
- Compliance
Major SolarWinds Breach Affects Government and Businesses Worldwide
A major breach has compromised confidential data at several U.S. government agencies, including the Treasury Department and the Department of Commerce exposing information from the executive branch, the military, and intelligence services. It has likewise compromised leading telecommunications firms, technology firms, and international governments.
Cyber Alert
- Cybersecurity
Operating in the UK Post-Brexit - A Guide for EEA Firms
The Brexit transition means in excess of 1,500 global firms need to adapt their business models and regulatory registration arrangements to continue operating within the UK. We outline details of the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.
Article
- Compliance
- Brexit
2021 Broker-Dealer Regulatory Filings Calendar
To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.
Article
- Compliance
Brexit: The Final Countdown - A Checklist for UK Investment Managers
With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.
Compliance Alert
- Compliance
- Brexit
Helping Private Equity Firms Stay Ahead of Risk
On October 6, 2020, ACA Aponix held a panel discussion about portfolio company risk management at our Cyber Week Virtual Conference. The session featured panelists from leading Private Equity (PE) firms who have worked with ACA to deploy strategic portfolio company risk management programs and included participants from over 200 firms.
Article
- Cybersecurity
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