ACA Spotlight Blog

Compliance, risk, and technology insights and alerts for financial services

ACA's experienced compliance, risk, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog now 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

SEC publishes FAQs for Regulation Best Interest

Compliance Alert - SEC

January 21, 2020

SEC publishes FAQs for Regulation Best Interest

On January 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) published Frequently Asked Questions on Regulation Best Interest. Regulation Best Interest (“Reg BI”) establishes a standard of conduct for broker-dealers and investment advisers and their associated persons. Its compliance date is June 30, 2020.

Compliance

OCIE 2020 Examination Priorities for Registered Investment Companies

Compliance Alert - SEC

January 17, 2020

The Impact of OCIE’s 2020 Examination Priorities on Registered Investment Companies

On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities. In this alert, we focus on on the impact of the priorities on registered investment companies.

Compliance

computer person at a trading desk selling stocks or etfs

Compliance Alert

January 17, 2020

SFTR Reporting – EMIR’s New Sidekick

Changes to the Securities Financing Transaction Regulation (SFTR) come into force for many financial services firms from 11 April. We examine what firms need to do to determine their reporting requirements and why they should do this now

Cybersecurity

Microsoft Issues Patch for Critical Security Vulnerability

Cyber Alert

January 16, 2020

Microsoft Issues Patch for Critical CryptoAPI Security Vulnerability

Learn what actions to take regarding the recent Microsoft® security update to the CryptoAPI component (Crypt32.dll).

RegTech

Compliance Alert

January 13, 2020

Global Regulators Renew Commitment to Data and Analytics Innovation in 2020

With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.

Compliance

SEC Announces 2020 Examination Priorities

Compliance Alert - SEC

January 10, 2020

SEC Announces 2020 Examination Priorities

On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.

Compliance

man looking through paperwork on desk with magnifying glass

Thought Leadership

January 8, 2020

The Impact of the 5th Money Laundering Directive

The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.

Cybersecurity

Cyber Alert

January 7, 2020

Cloudhopper Cloud Provider Breach Reported: Action Needed by January 10

Learn more about the Cloudhopper cloud managed service provider breach and determine what actions your firm may need to take by January 10.

Compliance

Survey

December 31, 2019

2019 Alternative Fund Manager Compliance Survey Results

Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.

Cybersecurity

Thought Leadership

December 30, 2019

The Year in Cybersecurity and Risk

Recap of our 2019 product updates, insights, webcasts, and other resources for ACA Aponix cybersecurity and privacy services.

Events

Thought Leadership

December 20, 2019

ACA's Top 10 Webcasts of 2019

As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.

Compliance