ACA Spotlight Blog

ACA Spotlight Blog

Compliance, risk, and technology insights and alerts for financial services
 

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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.

Business Continuity and Disaster Recovery Planning for Coronavirus Disease 2019 (COVID-19)
Compliance Alert
March 3, 2020

With the threat of the coronavirus disease 2019 (COVID-19), firms should revisit their business continuity and disaster recovery planning in response to a pandemic.

Thought Leadership
March 2, 2020

Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.

White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond
White Paper
February 27, 2020

ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.

OCIOs look to the GIPS standards to provide greater performance transparency
Thought Leadership
February 26, 2020

The Outsourced Chief Investment Officer (“OCIO”) model became widely adopted about a decade ago and since then the industry has grown rapidly, with well over 100 firms providing some level of these services.

2020 GIPS Compliance Notification Form Now Available
Thought Leadership
February 20, 2020

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.

    Understanding the Risk And Protecting Yourself from Payment Fraud
    Product Update
    February 19, 2020

    Payment fraud threats are a major concern for financial services firms globally, with fraud trends reflecting a continued and sustained growth over the past few years. It has become essential that firms are proactive in predicting and assessing their exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident. 

    Managing Expanding Compliance Expectations With Limited Resources
    Thought Leadership
    February 14, 2020

    While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.

    Summary of FINRA's Regulatory Actions in 2019
    Compliance Alert - FINRA
    February 13, 2020

    FINRA's Enforcement Division brought 108 enforcement actions and levied fines against member firms that totaled $57,981,625‬‬ in 2019. These numbers mark a significant decrease in the enforcement actions and total fines from 2018.

    stock chart
    Product Update
    February 12, 2020

    Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.

    city skyline abstract night sky
    Survey
    February 10, 2020

    Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.

    SFTR Reporting – Non-EU AIFs Out of Scope
    Compliance Alert - ESMA
    February 7, 2020

    The European Securities Market Authority ("ESMA") and the European Commission have today confirmed that non-EU Alternative Investment Funds ("AIFs") (i.e. AIFs not established in the EU) will not be subject to Securities Financing Transaction Regulation ("SFTR") reporting obligations.

    OCIE 2020 Examinations Priorities Letter for Broker-Dealers
    Compliance Alert - SEC
    February 7, 2020

    On January 7, 2020, the Securities and Exchange Commission's ("SEC’s") Office of Compliance Inspections and Examinations (the “OCIE”) released its 2020 Examination Priorities Letter out