ACA Spotlight Blog

ACA Spotlight Blog

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

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Compliance

 

FINRA Guidance for Retail Communications Concerning Private Placement Offerings
July 24, 2020
FINRA issued Regulatory Notice 20-21 on July 1, 2020 providing guidance for complying with FINRA Rule 2210 “when creating, reviewing, approving, distributing, or using” retail communications concerning private placement offerings.
July 20, 2020
Regulators are placing increasing importance on senior managers taking personal responsibility and accountability for regulatory reporting under SM&CR. We examine what this means for firms in scope of the MiFIR, EMIR or SFTR reporting regime.
2020 Investment Management Compliance Testing Survey Results
July 16, 2020
From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.
Q3 2020 Regulatory Reporting Deadlines
July 10, 2020
ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.
Summary of FINRA Regulatory Actions in Q1 2020
July 9, 2020
The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000‬‬ in the first quarter of 2020 (Q1 2020).
July 1, 2020
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. 
June 30, 2020
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?
Compliance Deadline Approaching for Regulation Best Interest and Form CRS
June 26, 2020
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.
abstract blue buildings looking up at sky
June 25, 2020
OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.
June 22, 2020
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.
June 16, 2020
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.
June 11, 2020
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.