ACA Spotlight Blog

ACA Spotlight Blog

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

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Compliance

 

2020 Liquidity Risk Management Program Rule Survey
June 1, 2020
By participating in this survey, you can help us identify trends in how firms are complying with the rule and accounting for market closures and market volatility. Results will be presented later this summer so you can implement some of the most common practices at your firm.
Are You Ready for Regulation Best Interest?
May 18, 2020
We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS in preparation for the June 30, 2020 compliance deadline.
CTA Promotional Material Relief for ECPs and Proposed Updates to Form CPO-PQR
May 5, 2020
The NFA provided relief to CTAs that are also registered with the SEC to present past performance to ECPs on a gross basis in non-public, one-on-one presentations. The CFTC also proposed changes to the Form CPO-PQR revising the scope of information collected.
April 2020 Broker-Dealer Newsletter
April 27, 2020
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter. This issue highlights Consolidated Audit Trail, Where Are We Now?, The SEC Publishes FAQs for Reg BI, FINRA and OCIE Exam Priorities, NASAA Survey About Reg BI Implementation, FINRA Pandemic-Related Busines Continuity Planning, Guidance, and Regulatory Relief...
CRD Now Accepting Form CRS
April 23, 2020
The SEC released updated Form CRS FAQs on April 6,2020. Although the filing date is June 30, 2020, firms should start drafting their forms for filing as soon as possible.
2020 Investment Management Compliance Testing Survey
April 20, 2020
ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group invite you to participate in the 2020 Investment Management Compliance Testing Survey. The survey will remain open through Sunday, May 31.
Regulation Best Interest Compliance Date Confirmed by the SEC
April 8, 2020
The SEC issued a public statement addressing the June 30, 2020 implementation deadline for Regulation Best Interest and Form CRS in light of the challenges raised by the COVID-19 pandemic.
April 3, 2020
At our recent UK conference, 'Regulatory Horizon 2020 | The Challenges Ahead', we captured 10 concerns for European firms (aside from Covid-19). This checklist remains relevant for firms prepared to look through the crisis to the eventual recovery ahead.
Compliance Alert
March 31, 2020
ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings.
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March 9, 2020
On 27 February 2020, the FCA wrote a 'Dear CEO' letter to all asset management firms setting its expectations for firms to prepare for the termination of LIBOR at the end of 2021. This letter is the latest in a barrage of co-ordinated messages from the UK authorities to chivvy the industry into action. We examine what this means for the buy-side community.
writing in notebook with glasses
March 5, 2020
Recent years have been demanding on financial services compliance departments and the impact of recent regulatory developments will be felt this year. Our European CCO Checklist for 2020 tracks key compliance obligations for the year ahead
March 2, 2020
Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.