ACA Spotlight Blog

ACA Spotlight Blog

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

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See a compilation of ACA's COVID-19-related news, insights, and resources for financial services firms here.

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

Upwards view of tall corporate buildings
Compliance Alert
October 26, 2020

The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.

ComplianceAlpha on mobile device and laptop
Product Update
October 23, 2020

Quarterly recap of regulatory news and ACA insights related to RegTech from this past quarter, as well as what's new and coming soon to ComplianceAlpha.

OCC Supervision Priorities and Objectives for 2021
Compliance Alert - OCC
October 23, 2020

The OCC's Committee on Bank Supervision recently released the agency’s supervision priorities and objectives for fiscal year 2021. We summarized what trust companies' and bank asset managers' should ensure are adequately covered by risk, compliance, and internal audit.

fireside chat
Thought Leadership
October 23, 2020

We were delighted to host Phil Venables, Board Director and Senior Advisor (Risk and Cybersecurity) for Goldman Sachs at our first-ever Cyber Week.  This fireside chat with Mike Pappacena, Partner, ACA Aponix is now available to watch on-demand.

abstract data chart purple and blue
Thought Leadership
October 22, 2020

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

Compliance Testing Action Plan
Thought Leadership
October 22, 2020

We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.

Thought Leadership
October 22, 2020

Ten-years ago, ACA Compliance Group opened in the UK to expand our global presence and better serve our clients doing business in Europe. Learn more about the services and solutions we now bring to clients around the world from our European team

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Thought Leadership
October 21, 2020

The ability to manage growing operational risks effectively, efficiently, and promptly determines a firm’s level of operational resilience and can help them manage RiskMutation.

GIPS 2020 for Real Estate
White Paper
October 20, 2020

In the current real estate investment environment, many firms want to understand the core components of the GIPS standards before committing the resources needed to attain compliance. Firms that already claim compliance seek to mitigate the risk of becoming noncompliant. This paper provides useful information for both objectives.

Product Update
October 19, 2020

We’re excited to announce ACA Aponix®'s Portfolio Company Risk Management and Monitoring solution, PortCo Defend™, a cybersecurity program and dashboard designed to help private equity firms assess and centrally monitor security threats and risks for their investment portfolio companies (PortCos).

SEC No-Action Letter: ATS Role in the Settlement of Digital Asset Security
Compliance Alert - SEC
October 16, 2020

The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.

OCC Announces Civil Money Penalty for Vendor Management Control Deficiencies
Compliance Alert - OCC
October 15, 2020

The Office of the Comptroller of the Currency recently assessed a $60 million civil money penalty for a bank's failure to exercise proper oversight of the 2016 decommissioning of two U.S. wealth management business data centers.