As regulatory expectations grow more complex, ensuring your teams have the right knowledge and tools has never been more critical.
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Cybersecurity oversight continues to challenge boards and now the SEC has updated their request list for cyber exams. This updated list combined with previously articulated SEC expectations, provides some directional help for boards as they navigate cybersecurity issues. In this blog, ACA's Jim Pappas shares what boards need to know.
The coming rules create a new prudential capital framework that is more tailored to the asset management industry – the previous structure was more focused on banks. While the changes will be modest for some firms, others will be significantly impacted by these new rules.
ACA Compliance Group (“ACA”) has expanded its consulting services that will help banks engaged in asset management activities manage risk and meet growing regulatory expectations. The bank asset management consulting services practice is overseen by former bank examiner, Roy Kim.
With the UK government’s desperate attempts to achieve a Brexit settlement having reached a crescendo, the FCA continues to make preparations for the worst case no-deal scenario. There appears still to be some uncertainty about who the regime applies to. This alert updates our previous alert on the same topic, with the objective of providing certainty to our clients on the current position.
On February 13, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations ( OCIE) issued a Risk Alert highlighting the concerns and issues associated with certain types of transfer agents (“TAs”) that also serve as paying agents. While the Risk Alert is aimed at certain operational and regulatory requirements, compliance professionals within the mutual fund industry should also consider how certain areas identified by OCIE are compared to their mutual fund company’s in-house or third-party TA and/or sub-transfer agent(s).
ACA Compliance Group and ACA Aponix are please to present their newest white paper, Board Oversight of Cybersecurity...In Search of the Rosetta Stone.
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
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
Join us our privacy experts, Glenn Mills and Alex Scheinman, for a discussion of PIPA requirements, potential challenges surrounding compliance and implementation, and more.
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.