ACA Spotlight Blog

ACA Spotlight Blog

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


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.

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.

OCIE 2020 Examination Priorities for 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

Microsoft Issues Patch for Critical Security Vulnerability
Cyber Alert
January 16, 2020

Learn what actions to take regarding the recent Microsoft® security update to the CryptoAPI component (Crypt32.dll).


blue data graph
Compliance Alert
January 13, 2020

With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.

SEC Announces 2020 Examination Priorities
Compliance Alert - SEC
January 10, 2020

On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.

man looking through paperwork on desk with magnifying glass
Thought Leadership
January 8, 2020

The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.

Cloudhopper Cyber Alert
Cyber Alert
January 7, 2020

Learn more about the Cloudhopper cloud managed service provider breach and determine what actions your firm may need to take by January 10.

2019 Alternative Fund Manager Compliance Survey Results
December 31, 2019

Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.

cybersecurity background
Thought Leadership
December 30, 2019

Recap of our 2019 product updates, insights, webcasts, and other resources for  ACA Aponix cybersecurity and privacy services.

Thought Leadership
December 20, 2019

As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.

December 2019 Broker-Dealer Newsletter
December 19, 2019

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.