ACA Spotlight Blog

ACA Spotlight Blog

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

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See Our COVID-19-related news, insights, and resources for financial services firms here.

Our experienced compliance, cybersecurity, ESG, performance, and regulatory technology professionals regularly provide insights on industry news, trends, and best practices.

Article
February 23, 2021

There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar. 

Virginia Senate Passes Consumer Data Protection Act
Cyber Alert
February 19, 2021

The Virginia Senate has unanimously passed the Virginia Consumer Data Protection Act (VCDPA) and once approved by the governor, the law is set to go into effect on January 1, 2023. This data privacy law would grant privacy rights and consumer protection to Virginia residents. Learn how to prepare for these new protections.

Black History Month 2021
Article
February 18, 2021

To celebrate Black History Month, ACA is proud to announce that we have formally launched the “Connected Black Professionals” affinity group (CBP).

London city landscape
Article
February 15, 2021

A summary of key tasks for compliance teams with a European presence, along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments and an outline of longer-term trends. 

ESG and the Year Ahead
Article
February 12, 2021

Following the launch of ACA’s ESG advisory practice, our webcast ESG and the Year Ahead recently discussed ESG trends and how to better address sustainability and responsible investing issues in the year ahead. Summarized below are four themes to consider throughout this year as you build out and enhance your ESG program.

GIPS 2020 Have you flipped the switch
Article
February 11, 2021

As February quickly moves into March, firms are looking to begin or finalize the updates needed for the GIPS Reports so that they can market 2020 performance results. Below is a checklist to help determine if your firm has considered all the items needed to ‘flip the switch’ over to the 2020 GIPS standards.

7 Tips to Avoid Identity Theft During the 2020 Tax Season
Article
February 11, 2021

As the U.S. tax filing season kicks off, it’s important to be on the lookout for tax scams, especially those related to COVID-19 or any stimulus payments. Here are our tips for staying diligent and resources to share with your employees and friends.

dots and lines
Article
February 4, 2021

Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.

Article
February 3, 2021

Does your cybersecurity program meet the requirements of regulators as well as your own internal and client expectations? Evaluate your cybersecurity program with our free checklist.

EU and Union Jack Flags
Compliance Alert
February 1, 2021

A recent ESMA public statement reminds firms of MiFID II rules on “reverse solicitation”. We examine what this means for firms that provide investment services to retail and/or professional clients from locations outside of the European Union. 

Managing Compliance Concerns in the Wake of GameStop Corp. Stock Inflation
Compliance Alert
January 28, 2021

Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.

Apple iOS Updated;  SonicWall Cybersecurity Products Hacked
Compliance Alert
January 28, 2021

This alert contains information about security vulnerabilities addressed by Apple® in its iOS® 14.4 update, as well as the recent breach of SonicWall® cybersecurity products. Learn how to protect yourself from these breaches.