ACA Spotlight Blog

ACA Spotlight Blog

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

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  1. Insights & Resources
  2. ACA Blog

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.

COVID-19
SEC OCIE Issues Risk Alert on COVID-19-Related Compliance Risks and Issues
Compliance Alert
August 14, 2020
SEC OCIE Issues Risk Alert on COVID-19-Related Compliance Risks and Issues

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.

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Cybersecurity
Survey
August 12, 2020
Highlights from the 2020 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey

Benchmarking your firm’s cybersecurity program against those of your peers is a smart way to identify the compliance gaps your firm should address. Here are the results of the 2020 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey.

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AML and Financial Crime
Preventing Financial Crimes
Thought Leadership
August 6, 2020
Preventing Financial Crimes

Money laundering has become a global concern over the past several years. In response, the U.S., Cayman Islands Monetary Authority and the EU are taking steps to increase AML efforts in their jurisdictions, and it is likely that other countries will follow suit in the coming years.

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Cybersecurity
Thought Leadership
July 31, 2020
Is It Time to Reset Your Password Reset Policy?

Many authorities are questioning whether mandatory password reset policies are worth the hassle.  Get ACA's guidance on when, if ever, you can remove or relax your password reset policy.

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Compliance
FINRA Guidance for Retail Communications Concerning Private Placement Offerings
Compliance Alert - FINRA
July 24, 2020
FINRA Guidance for Retail Communications Concerning Private Placement Offerings

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.

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Cybersecurity
connected tiles abstract
Thought Leadership
July 22, 2020
Third-Party Risk Management: Collaborating for Results

Running vendor management or third-party risk management (TPRM) programs can be a complicated process for both consumers and providers of services. Here are some of the current challenges with due diligence and opportunities to improve the process for all parties involved.

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Performance
CCOs Guide to the GIPS Standards
White Paper
July 22, 2020
The CCO's Guide to the GIPS Standards: Essentials for Understanding and Mitigating Risk

As adoption of the GIPS standards has grown over the years, ACA has seen compliance personnel take a much deeper interest in ensuring their firms meet every requirement.

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Cybersecurity
abstract motion blur cybersecurity composite
Cyber Alert
July 21, 2020
Critical Vulnerability Identified in Windows Servers

The U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) has issued an alert identifying a critical vulnerability affecting all versions of Microsoft® Windows Server® configured with the Domain Name System (DNS) role enabled. The vulnerability could potentially allow a remote attacker to gain control of affected systems. 

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Compliance
Compliance Alert
July 21, 2020
New Focus on Senior Manager Responsibility for Regulatory Reporting

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.

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Cybersecurity
abstract motion blur cybersecurity composite
Cyber Alert
July 20, 2020
European Union Court Strikes Down Key EU-U.S. Data Sharing Agreement

The Court of Justice of the European Union (CJEU) has determined that the Privacy Shield agreement, a key data sharing agreement that allows signatory U.S. companies to transfer EU resident personal data to the U.S., is no longer valid. Learn what action you may need to take due to this change.

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Cybersecurity
CCPA image
Thought Leadership
July 17, 2020
CCPA Enforcement leads to Multiple Class-Action Lawsuits

The California Consumer Privacy Act (CCPA) went into effect on 1/1/20 and enforcement began on 7/1/20. There has already been considerable activity on the class action front, much of it even before the enforcement date. Review what you need to do to avoid CCPA penalties.

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Compliance
2020 Investment Management Compliance Testing Survey Results
Survey
July 16, 2020
2020 Investment Management Compliance Testing Survey Results: BCP Related to COVID-19 Now Top Compliance Concern

From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.

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