Source: http://formpfnews.com/index.php/2016/04/28/aca-compliance-group-introduces-additional-off-site-surveillance-reviews/
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ACA Compliance Group Introduces Additional Off-Site Surveillance Reviews
April 28, 2016 admin
ACA Compliance Group is pleased to introduce six additional focused reviews as part of our off-site compliance support services. These reviews, which are provided by ACA’s dedicated team with specialized expertise in these areas, are designed to help CCOs with ongoing compliance monitoring in a broad range of risk areas. Our other off-site compliance support services include marketing materials reviews, electronic communications reviews, and personal trading compliance services.
Political contribution and pay-to-play reviews: An election year coupled with one of the strictest penalties under the Investment Advisers Act means there has never been a more important time for a firm to review its compliance with Rule 206(4)-5. ACA assists firms with identifying covered associates and jurisdictions for review, and then reviews the covered associates’ reported political contributions in the selected jurisdictions using publicly available information and internal documentation provided by the firm. We also conduct a review of a firm’s policies and procedures relative to the requirements imposed by Rule 206(4)-5, and provide recommended enhancements.
Employee-related conflict of interest reviews: Employees’ personal trading, outside activities, and personal and professional relationships can create actual or perceived conflicts of interest. We review a firm’s list of selected employees against publicly available information and other documentation, such as marketing materials, due diligence questionnaires, regulatory filings, conflict questionnaires, and other relevant internal documentation to identify potential conflicts of interest with respect to such employees. We also review and suggest enhancements to a firm’s compliance policies and procedures, conflict questionnaires, conflict monitoring processes, and other operational processes relating to conflicts of interest.
Insider trading reviews: Insider trading can damage a firm and destroy employees’ careers. We review a firm’s restricted lists and other related internal documentation against its trade blotter and certain firm-selected employees’ personal trading activities, to assist the firm with identifying specific trades for further review, and other potential compliance issues relating to insider trading. We review potential sources of material non-public information, which may include participation and usage in expert networks and certain transactions and investments. We also review and provide any recommended enhancements to a firm’s compliance policies and procedures relating to insider trading.
Access control process reviews: We often hear that one of the biggest threats to proprietary firm or client and investor information is a firm’s employees or others that have access to the firm’s systems or network. We interview a firm’s key information owners to identify key locations and/or systems where data resides. We also review and provide any recommended enhancements to a firm’s compliance policies and procedures relating to access controls.
Vendor due diligence process reviews: Regulators generally expect that firms conduct adequate and periodic due diligence of their third-party service providers. We review a firm’s list of identified vendors, looking at the firm’s previous due diligence on such vendors, including due diligence documentation, and provide feedback on the firm’s processes and how their vendor review policies (if any) were implemented. We also review and provide any recommended enhancements to a firm’s policies and procedures and other related internal documentation, and the firm’s operational practices, relating to vendor due diligence.
Form ADV peer benchmarking reviews: Wondering what your peers are disclosing on their Form ADVs? ACA’s peer benchmarking reviews reveal that information in a formalized, documented manner. We prepare a paragraph-by-paragraph comparison of a firm’s currently filed Form ADV Part 2A against the currently filed Form ADV Part 2A of up to four peers or competitors selected by the firm. Our summary reports identify material differences between the firm’s Form ADV Part 2A and those of the identified peers that may warrant additional review by the firm. We also highlight disclosure of language in the firm’s Form ADV Part 2A that appears to be materially different from industry practice.
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UAW hires public relations firm to sell Fiat Chrysler deal
Supermicro ® Exhibits All-Flash NVMe and SSD-based SuperServer Solutions Optimized for Enterprise, Data Center and Cloud-Scale Deployments at VMworld 2015 Europe
FX Energy Announces Agreement to Be Acquired by ORLEN Upstream
DNV GL Maps Wind Energy Production Potential in Zambia, Tanzania and The Maldives for World Bank ESMAP Project
How Discos Rip off Electricity Consumers
Sequenom Collaborates With University Medical Center Hamburg-Eppendorf To Evaluate Clinical Utility Of Liquid Biopsy In Colorectal Cancer
Canadian Solar Signs Agreement with Mashiki Town and Kumamoto Prefecture to Build 47 MWp Solar Plant in Japan
FLY Leasing Acquires a Boeing 737-800
Duty of due care and robo-advisers
Adv Affiliated Partners I Filing. Bradley Dean Landes Released Oct 8 form
Overstating AUM a sure way to get regulators knocking on your door
SEC charges advisory firm with fraud for improperly retaining fees
Clarient partners with FIA Tech to offer OCR reporting service
The Hampshire Companies, CrownPoint Group and Circle Squared Alternative Investments Celebrate Grand Opening for 221 Bergen, Harrison, NJ’s Newest Residential Community
Confluence Enhances Form N-MFP Filing Solution Ahead of 2016 Reporting Deadlines
Form 8.3 - Platform Specialty Products Corporation - Common Stock
Shares of Pinnacle Foods, Inc. (NYSE:PF) Sees Large Inflow of Net Money
SunEdison Announces Global Initiative To Optimally Position The Company For Long Term Profitable Growth
MDC officials challenge Tsvangirai's proposed plan to form coalition with Mujuru
Zambia: The Need for Stable Economic Policies
Twin Brothers Sentenced for wire fraud, conspiring to hack into U.S. Department of State and Private Company
Macerich Announces Joint Ventures On Assets Valued At $5.4 Billion
SEC Brings New Case Against RIA Already On Hook for $48M Award
Two-Day FDA Advisory Committee Meeting to Address Drug Compounding Questions
New Foreign Equivalency Determination Regulations
CFTC’s Division of Market Oversight Issues Additional Time-Limited No-Action Relief from Electronic Reporting Requirements in the OCR Final Rule
Zambian Solutions to Gender-Based Biolence
Grace is Mnangagwa’s new headache
Dimensional fund ADV UK Regulatory announcement Form
Bitcoin According to Regulators: Money, Currency, Property, and Now a Commodity
Former Downtown Nightclub Bouncer Arrested on Charges of Operating Illegal Steroid Lab out of His Oak Lawn Home
Economic liberalization under political authoritarianism: Is it sustainable for Zimbabwe?
NASAA: States Levied $174M in Fines, $400M in Restitution in 2014
CFTC Approves Supplement to Proposed Rulemaking to Modify the Aggregation Provisions of Its Position Limit Rules
Mujuru in with a huge chance in 2018
Bishop Bakare seeking relevance through his NCP
ZUNDE's proposal for national agenda
Confluence Survey Reveals Operational Impact of the SEC's Reporting Modernization Rule Proposal
SouFun Announces Investment from IDG, Carlyle and Management Members
FINRA Floats Plan to Help Block Elder Exploitation
Mujuru move: Can she cause an upset?
CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay $171,800 Civil Monetary Penalty and Imposes Permanent Trading and Registration Bans for Engaging in Deceptive Trade Allocation Scheme
Prepared Remarks of Consumer Financial Protection Bureau Director Richard Cordray at the National Association of Realtors
Consumer Financial Protection Bureau Releases New Tools as Part of Know Before You Owe Mortgage Initiative
Fitch on Rate Hikes, WAMs and Shadow NAVs; More Revised SEC FAQs
SEC’s Proposed Changes to Form ADV: Time for RIAs to Prepare?
SS&C Technologies: A Compelling Play On Continued Growth And Regulation In The Hedge Fund Industry
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