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
SEC Adopts ETF Rule
On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.
Compliance Alert
- Compliance
The Next Generation of ComplianceAlpha is Here!
We’re excited to announce the launch of ComplianceAlpha® 2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.
ComplianceAlpha Update
- RegTech
Analysis and Review Center Celebrates 5 Years of Centralized Managed Services
In 2014, the ARC was created to provide a simple way for CCOs to outsource the exhaustive and time-consuming task of email communications reviews. Today, the ARC is a dedicated knowledge center that provides efficient, scalable, and cost-effective compliance support to thousands of firms with over 10 established services as well as client tailored, bespoke solutions. Learn more about how the ARC has evolved and why managed services are the wave of the future for compliance.
Article
- ACA News
October is Cybersecurity Awareness Month!
Breaches and cyber incidents occur when employees are not fully trained on how to identify cyber issues, policies are not being followed, and third-party systems are not fully vetted or secured.
Article
- Cybersecurity
SEC Guidance on Investment Adviser Proxy Voting Responsibilities
On August 21, 2019, the U.S.
Compliance Alert
- Compliance
ACA Compliance Group Launches Holistic Surveillance Solution for Financial Services Firms
ACA’s holistic surveillance solution brings together ACA’s established surveillance services and technology solutions in a comprehensive package designed to help firms meet the surveillance expectations of regulators as well as to replicate their technological capabilities.
Press Release
- Trade Surveillance
- Compliance
- RegTech
- ComplianceAlpha
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
2025 SEC Examination Priorities: What you need to know
Join us on Thursday, November 12, 2024, at 11am ET, for an insightful webcast when we delve into the SEC’s Examination Priorities for 2025.
Webcast