ACA Spotlight Blog

ACA Spotlight Blog

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

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  1. Insights & Resources
  2. ACA Blog

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 Relief for Registered Investment Companies
Compliance Alert - SEC
March 27, 2020
SEC Relief for Registered Investment Companies

The unprecedented coronavirus (COVID-19) pandemic has created many hardships that could make it difficult for registered investment companies (“funds”) to meet certain regulatory requirements.

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Cybersecurity
Thought Leadership
March 27, 2020
Now Offering Free Cyber Awareness Training

ACA is providing our web-based cybersecurity awareness training course, free of charge until June 30, 2020. Our course provides financial services and businesses of all sizes with an effective and comprehensive review of cybersecurity risks.

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Europe
Horizon over globe
White Paper
March 27, 2020
Regulatory Horizon 2020 | Key Takeaways

We recently brought together professionals from the global investment management community to speak at our conference, Regulatory Horizon 2020 | The Challenges Ahead. Find out the key compliance, technology, and cyber takeaways from the event.

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Cybersecurity
work from home
Thought Leadership
March 26, 2020
Maintaining Information Security and Professionalism while Working from Home

These are unusual times. The coronavirus (COVID-19) pandemic has demanded new ways of human interaction, both in the business and personal worlds. This includes firms around the world directing a large number of employees to work from home. 

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Cybersecurity
kids on devices
Thought Leadership
March 26, 2020
Keeping Children Safe Online During COVID-19 Social Distancing

With children across the world spending more time at home (and on screens) due to the coronavirus (COVID-19) pandemic, we've updated our cyber safety guide for parents and caregivers on how to keep kids safe online.

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Compliance
Mitigating Employee Risks Related to the COVID-19 Pandemic
Thought Leadership
March 25, 2020
Mitigating Employee Risks Related to the COVID-19 Pandemic

The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.

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Compliance
Managing Compliance Resource Constraints
Thought Leadership
March 24, 2020
Managing Compliance Resource Constraints Due to COVID-19

In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.

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Compliance
CFTC and NFA Regulatory Relief for CPOs and CTAs
Compliance Alert
March 24, 2020
CFTC and NFA Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors

Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).

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Compliance
7 Important Actions for Managing COVID-19 Pandemic-Related Change
Thought Leadership
March 20, 2020
7 Important Actions for Managing COVID-19 Pandemic-Related Change

A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.

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Cybersecurity
Business and Risk Considerations for Portfolio Companies
Thought Leadership
March 18, 2020
Business and Risk Considerations for Portfolio Companies During the COVID-19 Pandemic

Operating partners within private markets need to consider the impact the COVID-19 pandemic will have on their investments, it is crucial that accurate information related to the preparedness of your portfolio companies is available in order to ensure timely decisions are being made. Read our best practices to accomplish this and they key risks to consider.

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Compliance
SEC Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus
Compliance Alert
March 18, 2020
SEC Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus (COVID-19)

On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .

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Compliance
Compliance Alert
March 18, 2020
EU Short Selling Restrictions: A Further Update

In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.

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