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.

Compliance Alert
June 2, 2020

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

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

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.

Thought Leadership
June 1, 2020

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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Cyber Alert
May 27, 2020

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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Thought Leadership
May 21, 2020

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.

2020 GIPS Standards Explanation of the Provisions for Firms
Thought Leadership
May 21, 2020

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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Compliance Alert
May 20, 2020

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.

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

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.

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

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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Thought Leadership
May 15, 2020

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.

Case Study
May 11, 2020

Read how a private equity energy investor experiencing increased cyber threats to its portfolio companies worked with ACA Aponix to deploy a comprehensive risk management solution to cover all of the firm’s oil and gas portfolio companies.

 

Lynx Case Study
Case Study
May 7, 2020

Read how Lynx FBO Network (Lynx) in the general aviation industry worked with ACA Aponix to execute a Holistic Technology and Cybersecurity Risk Assessment.