ACA Spotlight Blog

ACA Spotlight Blog

Risk and compliance alerts, insights, and resources for financial services firms
 

Subscribe

See a compilation of ACA's COVID-19-related news, insights, and resources for financial services firms here.

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.

risk mutation imagery
Thought Leadership
January 20, 2021

ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.

Mimecast E-Mail Security Service Hacked
Cyber Alert
January 15, 2021

Mimecast® e-mail security company has reported a breach that affects 10% of users in which hackers may be able to access company email and other data as well as infiltrate company networks. Learn how to protect yourself from this breach.

Regulators Probe Firms’ Exposure Following SolarWinds Hack
Cyber Alert
January 14, 2021

Regulators have taken steps to probe companies’ levels of exposure to the SolarWinds hack. Learn what information and actions have been requested so far.

Hedge Fund Update: News You May Have Missed
Thought Leadership
January 14, 2021

In this edition of ACA's Hedge Fund Update, we discuss who the new SEC Chair may be, recent risk alerts, enforcement actions, and more.

Compliance Alert
January 14, 2021

In its Market Watch 66, the FCA reminds firms around of their obligations to record telephone conversations and electronic communications - regardless of COVID-19 induced work environments. We examine considerations and requirements for firms. 

tall city buildings looking up
Thought Leadership
January 13, 2021

The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).

Q1 2021 Regulatory Reporting Deadlines
Compliance Alert
January 8, 2021

Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.

Compliance Alert
January 8, 2021

From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.

UK Announces Amendment to its Short Selling Reporting Regime
Compliance Alert
January 5, 2021

Following HM Treasury & ESMA announcements, the FCA has provided an update on the notification and reporting of short sales under its newly onshored regime. We examine the revised UK regime and explore if this is an early taste of post-Brexit accommodation.

California Privacy Rights Act FAQs
Thought Leadership
December 21, 2020

The California Privacy Rights Act of 2020 (CPRA) is a new data privacy law that substantially updates the existing California Consumer Privacy Act (CCPA) to bring California's privacy regulations into closer alignment with the European General Data Protection Regulation (GDPR).

Update: Major SolarWinds Breach Affects Government and Businesses Worldwide
Cyber Alert
December 18, 2020

Following our Cyber Alert earlier this week about the SolarWinds breach, many extraordinary steps have been taken by industry leaders to respond to what may be the most material global intrusion campaign of the past decade.

Thought Leadership
December 18, 2020

This year, as we responded to the pandemic, we continued to invest in enhancing our cybersecurity and privacy services to help our clients meet their firm's priorities efficiently and effectively as well as respond to the evolving cybersecurity landscape. Review a summary of 2020 cybersecurity news and insights and other resources and prepare for 2021.