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Guidance and insights on regulatory proposals, enforcements, and risk alerts

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SEC Approves Regulation Best Interest

On June 5, 2019, the SEC passed Regulation Best Interest (“Reg BI”). Broker-dealers will be required to act in the best interest of their retail customers when recommending any securities transaction or investment strategy. Here's what you need to know.

Compliance Alert
  • Compliance
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2019 Anti-Money Laundering Regulatory Climate Update

Although there are political signals that the current U.S. administration will provide financial institutions regulatory enforcement relief in comparison to years prior, this is not the case. As evidenced by the consistent penalties enforced over the past several years, AML/BSA regulatory enforcement remains a top priority.

Compliance Alert
  • AML and Financial Crime
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ACA Compliance Group Announces Enhanced Trade Blotter Review Analysis Powered by ACA’s Decryptex Market Abuse Surveillance Technology

ACA's automated trade blotter review tool helps SEC-registered investment adviser clients keep pace with the SEC’s enhanced use of technology to detect insider trading, market abuse, and other potential misconduct.

Press Release
  • RegTech
  • Trade Surveillance
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Wrap-Up of ACA's Spring 2019 Compliance and Performance Conference

ACA's Spring 2019 Compliance and Performance Conference was held May 8-10 at the Mandarin Oriental in Miami, Florida.

Article
  • Events
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Increased Demand from Credit Managers Claiming GIPS Compliance

Claiming compliance with the Global Investment Performance Standards (GIPS) is gaining significant traction with credit asset managers due to the increased demand from institutional investors.

Article
  • Performance
PE Firms

M&A Due Diligence and Portfolio Oversight: Minimizing Cyber and Privacy Risks During the Deal Lifecycle

With data breaches, social engineering attacks, extortion, hacking, and other cyber threats on the rise, it’s become increasingly vital for private equity firms to manage their firm’s cyber, IT, and data privacy risks as well as those of their prospective and current portfolio companies. Here's what you need to know to protect your investments.

Article
  • Cybersecurity
  • Portfolio Company Risk Management
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The Secret Ingredient for Effective Vendor Risk Management

Vendor risk management can be painful, time-consuming, and expensive. Get the secret ingredient to capture the full range of vendor risks in our latest blog post.

Article
  • Cybersecurity
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5 Key Challenges When Tuning AML Transaction Monitoring Software

More and more, regulators are examining AML and terrorist financing monitoring software solutions to see if they are tuned correctly; and citing financial institutions who fail to meet the regulatory standards. One issue for both regulators and these institutions is the creation of excessive volumes of “false positive” activity alerts, or alerts on activity that after evaluation, is not determined to be suspicious.

Article
  • AML and Financial Crime
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OCC's Semiannual Risk Perspective: What Bank Asset Managers Should Know

The Office of the Comptroller of the Currency (“OCC”) recently issued its Spring 2019 Semiannual Risk Perspective, a recurring report of key risk areas and emerging threats to the federal banking system that are monitored by the OCC's National Risk Committee. In this blog post, we summarize the risk areas that impact banking asset management groups, and operational risk, strategic risk, and BSA/AML.

Compliance Alert
  • Bank Asset Management
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Regulatory Cyber Alert: SEC’s OCIE Issues Risk Alert on Data Storage Security

On May 23, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding the security associated with cloud and network data storage solutions.

Compliance Alert
  • Cybersecurity