ACA Spotlight Blog

ACA Spotlight Blog

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


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.

SFC's FMCC Five Important Next Steps
Thought Leadership
December 18, 2018

The deadline of November 18, 2018, has now passed for the SFC FMCC. As with many regulatory change projects, implementation is no longer “the end” of the road, rather, it is a beginning of sorts. And so it is for Hong Kong’s fund management community and the new code of conduct. With the regulation now in force, there are a number of activities firms should undertake to ensure ongoing compliance with regulatory expectations.

Data Governance blog
Thought Leadership
December 14, 2018

While the financial institutions have the desire to improve the data quality and availability, data governance is often driven by external regulations to implement a program to ensure requirements outlined in DFS Part 504 regulation are met.

Third-Party Risk Management: DIY
Thought Leadership
December 14, 2018

Performing third-party risk management (TPRM) on vendors is a complex, high-stakes process. So how do you decide what is the right solution for your company? Here are 5 key differences to help you determine whether process automation or process outsourcing is best for your company.

Trader looking at screen
Compliance Alert
December 13, 2018

The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at an ACA Compliance Group (Europe) briefing held in London in mid-November.

Employee Data Governance Policies
Thought Leadership
December 12, 2018

Regulatory mandates and pressure from investors are driving firms to implement new security policies which can be challenging for employees. Here's a set of key guidelines to minimize the impact and maximize the value of implementations for your employees.

How RegTech Helps Compliance Teams
Thought Leadership
December 5, 2018

Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.

Checklist for CCOs
Thought Leadership
November 29, 2018

With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.

Staff Support Handshake
Thought Leadership
November 28, 2018

The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis. 

Brexit: the impact on your marketing and distribution activities
Thought Leadership
November 21, 2018

With four months to go until the United Kingdom’s anticipated exit of the European Union, the world braces itself for the final ‘divorce’ arrangements to be agreed, and to understand the subsequent consequences of those decisions.  With questions still unanswered on how Brexit will impact investment firms, we examine possible marketing and distribution issues post-Brexit.

November 2018 Broker-Dealer Newsletter
November 19, 2018

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

CCPA compliance
Thought Leadership
November 16, 2018

Did you miss our California Consumer Privacy Act webcast? Download our FAQs guide to learn more about the CCPA and how you can prepare for the compliance deadline.

4 ways to prevent breaches
Thought Leadership
November 7, 2018

ACA Aponix consultant Chris Stover shares 4 ways to prevent breaches and test your company’s security controls.