SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
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
Now Batting: The SEC's Form N-CEN with Two on Deck
As of June 1, 2018, registered investment companies are required to file Form N-CEN with the Securities and Exchange Commission (“SEC”) on an annual basis. This new form replaces the semi-annual census reporting on Form N-SAR and must be filed within 75 days of a fund’s fiscal year end (with an exception for unit investment trusts, which must file within 75 days of calendar year end).
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ACA Technology Announces Version 3.0 of ACA's Decryptex Trade Surveillance Solution
Key features include integration with ACA’s ComplianceAlpha®, single sign-on (SSO) support, and a redesigned user interface.
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ACA Aponix Launches Online GDPR Awareness Training Course
ACA's e-learning course on the EU's General Data Protection Regulation (GDPR) is designed for employees of GDPR-implicated organizations.
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GIPS Standards Performance Record Portability
Portability refers to the ability of a GIPS-compliant firm to present a track record that was achieved at another firm. When one firm hires a portfolio manager, there is usually a desire to market the portfolio manager’s track record while employed at the prior firm.
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- Performance
Market Exposure: The Importance of a Comprehensive Compliance Review
In 2002, the Sarbanes Oxley Act was enacted to augment the regulation of accounting and disclosures for public companies. This was in direct relation to aggressive accounting methods, the technology bubble, and other instances of corporate malfeasance.
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New prudential regime for investment firms: how are MiFID managers impacted?
The prudential framework is a new rulebook developed by the European Commission for investment firms. It is designed to be simpler and more proportionate to a firm’s operations. Last month we looked at the impact on Exempt CAD firms. Now we examine the regime’s impact on the capital and liquidity requirements on MiFID managers.
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News
ACA Group Named a 2024 DataTech50 Provider
ACA Group acknowledged as one of the most innovative tech companies offering data management solutions in financial services
ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.
ACA Group Acquires Encore Compliance Adding AI Technology to Enhance Managed Services Capabilities
ACA Group Acquires Encore Compliance to Enhance Managed Services Capabilities with AI Technology. Acquisition enhances ACA’s technology solutions to support day-to-day compliance requirements and reduce risk