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.

First Test of Liquidity Risk Management
Thought Leadership
February 6, 2020

The recent last minute extension of the Chinese Lunar New Year market closure proved to be troublesome for some mutual funds and ETFs compliance with the Liquidity Risk Management Program. We outline how to prepare for such unexpected changes.

M&A Due Diligence Challenges: Transition Management
Thought Leadership
February 5, 2020

Our M&A Due Diligence Challenges blog series addresses the changing nature of IT, cybersecurity, and data privacy and how investors can manage these risks and increase their chances of achieving a successful M&A transaction. Part 2 covers Transition Management and Day 1 / 100 days planning.

FINRA 2020 Risk Monitoring and Examination Priorities
Compliance Alert - FINRA
February 4, 2020

On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.

7 Tips to Avoid Identity Theft During the 2020 Tax Season
Thought Leadership
February 3, 2020

Tax filing may be delayed until July 15, but it's best to file as soon as possible and be extra vigilant about tax scams. Here are our tips for staying diligent and resources to share with your employees and friends.

Regulatory Update for CPOs and CTAs
Compliance Alert - CFTC
January 30, 2020

2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review these notices from 2019 as you plan your 2020 compliance program.

SEC OCIE Cyber and Resiliency Observations
Compliance Alert - SEC
January 28, 2020

SEC's OCIE released Cybersecurity and Resiliency Observations from its examinations of SEC-registered firms. Here's what you need to know.

Thought Leadership
January 28, 2020

Data Privacy Day is a great opportunity to evaluate your level of data privacy compliance for your firm, especially for CCPA. Join our webcast with Compliance Week to learn what you need to know about this new privacy regulation.

london sky at sunset
Compliance Alert - FCA
January 28, 2020

Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.

10 Cybersecurity Trends for 2020
Thought Leadership
January 27, 2020

As we begin 2020, here’s a list of 20 cybersecurity trends and predictions to prepare for in the coming year.

SEC publishes FAQs for Regulation Best Interest
Compliance Alert - SEC
January 21, 2020

On January 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) published Frequently Asked Questions on Regulation Best Interest. Regulation Best Interest (“Reg BI”) establishes a standard of conduct for broker-dealers and investment advisers and their associated persons. Its compliance date is June 30, 2020.

The Impact of OCIE’s 2020 Examination Priorities on Registered Investment Companies
Compliance Alert - SEC
January 17, 2020

On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities. In this alert, we focus on on the impact of the priorities on registered investment companies.

computer person at a trading desk selling stocks or etfs
Compliance Alert
January 17, 2020

Changes to the Securities Financing Transaction Regulation (SFTR) come into force for many financial services firms from 11 April. We examine what firms need to do to determine their reporting requirements and why they should do this now