ACA Spotlight Blog

ACA Spotlight Blog

Risk and compliance alerts, insights, and resources for financial services firms
 

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  1. Insights & Resources
  2. ACA Blog

ACA's experienced compliance, risk, performance, cybersecurity, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog consolidates all ACA compliance alerts, thought leadership articles, white papers, cybersecurity alerts, and results from ACA surveys to help you find the information you need more quickly and easily.

Compliance
Compliance Alert
July 1, 2020
Extension of SM&CR Implementation Period for Solo-Regulated Firms

The FCA and Treasury have agreed to extend the deadline for FCA solo-regulated firms’ assessment of their Certified Staff as fit and proper by just over 100 days, to 31 March 2021. We examine what firms need to do to make sure they are compliant by the new deadline. 

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COVID-19
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Thought Leadership
July 1, 2020
COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?

Download our surveillance gap assessment checklist to see how your program measures up.

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Compliance
Compliance Alert
June 30, 2020
Sunak Calls the Shots: The FCA's New Boss and the UK's Agenda for Financial Services Regulation

Whilst lockdown restrictions start to ease and the green shoots of a post-pandemic world tentatively emerge, two notable developments have come out of the UK government this week. What do these indicate about the UK's financial services post-Brexit?

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Cybersecurity
CCPA image
Thought Leadership
June 29, 2020
Updates to the CCPA: Deadline is July 1

As we approach the California Consumer Privacy Act (CCPA) enforcement deadline you may be wondering what happens next. We have updated our CCPA FAQs with the most up-to-date information.

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Compliance
Compliance Deadline Approaching for Regulation Best Interest and Form CRS
Compliance Alert - SEC
June 26, 2020
Compliance Deadline Approaching for Regulation Best Interest and Form CRS

The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.

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Compliance
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Compliance Alert - SEC
June 25, 2020
OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics

OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.

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Compliance
Compliance Alert
June 25, 2020
Abide Closure – What Happens Next?

With CME winding down Abide, its European regulatory reporting platform, many firms now face a complex, time-critical move to an alternative transaction reporting provider. We explore what this means for affected firms and what's needed to ensure ongoing compliance.

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COVID-19
Thought Leadership
June 24, 2020
COVID-19 and Working Remotely: Reminding Staff of Their Compliance Obligations

To help mitigate the risk of ‘compliance distancing’, it's key that Compliance Officers make staff aware of their role in protecting the business. We outline regulatory requirements that help bolster a firm’s safeguards relating to investor protection, market conduct and in meeting its legal and regulatory obligations.

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Compliance
Thought Leadership
June 17, 2020
LIBOR No More: How Alternatives Managers Should Implement the Transition

The transition from the London Interbank Offered Rate (LIBOR) is due to be complete by the end of 2021. With 2020 considered a critical year for the global industry to make that transition, we examine what firms should do now to prepare for the termination of LIBOR.

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Cybersecurity
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Cyber Alert
June 16, 2020
Widespread Telecom Outages Reported: Contingency Preparedness Recommended

On June 15, 2020 widespread voice and data outages were reported across the U.S with disruptions in service among major cell service carriers, internet service providers, social media platforms, gaming sites, streaming services, banking services, delivery services, and teleconferencing platforms.

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COVID-19
The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19
Thought Leadership
June 11, 2020
The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19

With the reopening phase of the COVID-19 pandemic underway, compliance officers will need to be strategic and agile in their approach to compliance management. Here are some key considerations to keep in mind.

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Compliance
Compliance Alert
June 11, 2020
EMIR REFIT: 18 June 2020 Deadline Checklist

18 June 2020 marks the deadline for counterparties to complete a range of requirements aligned to the amended European Market Infrastructure Regulation (EMIR REFIT). We've created a checklist for firms to check they are ready.  Read more.

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