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, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog now 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. 

For ACA compliance alerts prior to March 2019, see our News Archive.

Customer Due Diligence: Preparing for Focus in U.S. Regulatory Examinations
Thought Leadership
November 22, 2019

The customer due diligence (CDD) rule went into effect May 11, 2018. Now that firms have had sufficient time to make any necessary changes needed to implement the rule, it is likely that regulators will focus on CDD implementation within examinations.

city with points of light
White Paper
November 22, 2019

Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

Thought Leadership
November 18, 2019

In less than one month, the Senior Managers & Certification Regime (SM&CR comes into force. Many Solo-regulated firms may need to accelerate the pace at which they are preparing for regime. Download our five-point checklist to benchmark your readiness ahead of the 9 December 2019 deadline.

Model Delivery Trends
Thought Leadership
November 14, 2019

The demand and appetite for model portfolios is rapidly increasing among investment advisors. A recent report released from Broadridge revealed that assets in model portfolios now stand at $2.7 trillion and are expected to double by 2023.

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Compliance Alert
November 13, 2019

In recent week's global regulators have issued communications regarding their ongoing commitment to detecting and punishing insider trading, market abuse, and other misconduct by investment management firms. The common thread? Technology.

ACA Compliance Group
Thought Leadership
November 12, 2019

ACA Compliance Group's Greg Mekanik recently shared his insights with the Hedge Fund Law Report in a three-part series on the practical implications of the SEC’s interpretation regarding standard of conduct for investment a

Compliance Alert
November 12, 2019

The SEC has extended its no-action letter relief on MiFID II Research Payments until July 2023. We examine the longer-term implications of the Extension Letter and outline interesting points raised by the regulator.

Hong Kong SFC Issues New Guidelines on Electronic Data Storage
Compliance Alert
November 8, 2019

Learn more about the new guidelines on Electronic Data Storage issued by the Hong Kong SFC.

SEC Proposes Expansive Changes to Marketing and Advertising Rules
Compliance Alert - SEC
November 8, 2019

In an effort to ensure that the regulations applying to investment advisers remain relevant in the digital age, the staff of the SEC announced significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. Read our compliance alert to learn more.

SEC Division of Enforcement Publishes 2019 Annual Report
Compliance Alert - SEC
November 6, 2019

Read our summary of notable findings from the SEC Enforcement Division's Annual Report covering FY 2019.

ACA Compliance Group Pay-to-Play Monitoring Best Practices
Thought Leadership
November 5, 2019

A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.

FINRA Publishes 2019 Examination Findings Report
Compliance Alert - FINRA
November 4, 2019

On October 16, 2019, FINRA published its 2019 Report on Examination Findings and Observations. The Report lists FINRA’s examination findings and observations for the current year.