ACA Spotlight Blog

ACA Spotlight Blog

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

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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.

SEC Guidance for Paycheck Protection Program Related Considerations
Compliance Alert
June 10, 2020

The U.S. Securities and Exchange Commission recently issued guidance to financial institutions regarding some of the disclosure requirements and other obligations related to the Paycheck Protection Program and the impact of COVID-19.

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Thought Leadership
June 8, 2020

To help your firm protect itself against insider trading, ACA is providing our web-based training course free of charge until September 4.

Countering COVID-19-related Fraud and Scams phishing man image
Thought Leadership
June 8, 2020

Fraudsters are quick to exploit an opportunity and the coronavirus pandemic has led to attempts to take advantage of new working behaviors and hastily implemented government schemes. Learn about the heightened risk, as well as measures businesses can take to protect themselves and their employees.

ACA Diversity and Inclusion Pride Month
Thought Leadership
June 4, 2020

At ACA, we are committed to diversity and inclusion, creating an environment where people can be their best self in the workplace.

Image of graphs representing financial markets
Compliance Alert - FCA
June 4, 2020

The FCA’s recently published Market Watch 63 reminds firms that they must continue to comply with their obligations around market conduct and reporting during the COVID-19 crisis. It highlights some changes to market activities and alternative working arrangements which represent a higher risk. We examine how firms should respond to the regulator's concerns.

business woman holding mobile phone
Compliance Alert
June 2, 2020

Whistleblowing is seeing the highest level of activity since 2015, with employees ready to take their concerns straight to the competent authorities if not satisfied by internal remediation. We examine the importance of whistleblowing in a robust compliance framework and why it matters during lockdown

2020 Liquidity Risk Management Program Rule Survey
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.

connected tiles abstract
Thought Leadership
June 1, 2020

Learn how ACA's 6-step approach can help you stay on top of the vendors your company uses and ensure that their cyber and technology risks are accounted for and managed.

abstract motion blur cybersecurity composite
Cyber Alert
May 27, 2020

Microsoft Security Intelligence has issued a security warning for a massive malware attack from emails about COVID-19 purportedly from Johns Hopkins Center. Learn more about this attack and how to defend your systems.

city view with electronic mesh
Thought Leadership
May 21, 2020

Read our guidelines for best privacy practices in implementing contact tracing and symptom tracking of employees as stay-at-home restrictions begin to ease and employees who have been working from home return to the office.

2020 GIPS Standards Explanation of the Provisions for Firms
Thought Leadership
May 21, 2020

Section 2 of the Explanation of the Provisions focuses on clarifying the input data and calculation methodology requirements to be compliant with the 2020 GIPS standards.

tower bridge at night composite image
Compliance Alert
May 20, 2020

The Financial Services Regulatory Initiatives Forum (‘FSRIF’ or the ‘Forum’) recently published its Regulatory Initiatives Grid to help the financial services industry understand, and plan for regulatory change as a result of COVID-19. We examine the impact and areas of focus.