ACA Spotlight Blog

ACA Spotlight Blog

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

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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.

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

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

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COVID-19
Image of graphs representing financial markets
Thought Leadership
June 4, 2020
FCA Reminds Firms of Market Abuse and Reporting Requirements During the COVID-19 Crisis

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.

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COVID-19
Compliance Alert
June 2, 2020
Whistleblowing and Why it Matters During Lockdown

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

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Compliance
2020 Liquidity Risk Management Program Rule Survey
Survey
June 1, 2020
2020 Liquidity Risk Management Program Rule Survey

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.

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Cybersecurity
Thought Leadership
June 1, 2020
Taking Control of Vendor Risk: A 6-Step Approach

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.

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COVID-19
abstract motion blur cybersecurity composite
Cyber Alert
May 27, 2020
New Malware Attack Detected with Fake Pandemic Info from Johns Hopkins

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.

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COVID-19
city view with electronic mesh
Thought Leadership
May 21, 2020
Privacy Considerations on Returning to the Office

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.

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Performance
2020 GIPS Standards Explanation of the Provisions for Firms
Thought Leadership
May 21, 2020
The 2020 GIPS Standards: Explanation of the Provisions for Firms – Section 2

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.

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COVID-19
tower bridge at night composite image
Compliance Alert
May 20, 2020
The Regulatory Initiatives Grid and Implementing Regulatory Change in the UK

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.

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COVID-19
SEC COVID-19/BCP Examination Request
Compliance Alert - SEC
May 19, 2020
SEC COVID-19/BCP Examination Requests

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced in March that it intends to engage in an ongoing outreach with registrants to assess the impacts of COVID-19, including challenges impacting operational resiliency. In the last few weeks, ACA has seen an increase in the number of examinations announced by the SEC examination staff.

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Compliance
Are You Ready for Regulation Best Interest?
Survey
May 18, 2020
Regulation Best Interest Readiness Survey

We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS in preparation for the June 30, 2020 compliance deadline.

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COVID-19
abstract road high speed horizon
Thought Leadership
May 15, 2020
Key Considerations for Adjusting Your Compliance Program in the Age of COVID-19

In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.

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