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.

COVID-19, Cybersecurity

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Cyber Alert

April 3, 2020

New "Coronavirus" Malware Targets Windows Users

Researchers have discovered multiple computer viruses and destructive software (malware) that use coronavirus and COVID-19 themes. These malware programs can be significantly damaging to systems and the data they maintain.

Compliance

Tips to Enhance Electronic Communication Surveillance

Thought Leadership

April 2, 2020

Tips to Enhance Electronic Communication Surveillance

With reduced face-to-face interactions, employees are increasingly turning to electronic devices and platforms to communicate with their co-workers and clients. Increased electronic communication traffic can result in additional risks. Regulators, although providing relief in certain areas, still expect the compliance role to function effectively to mitigate these risks.

COVID-19

Compliance Alert

April 1, 2020

SFC issues guidance to fund industry participants related to the COVID-19 outbreak

Responding to volatility in local and international markets following the COVID-19 outbreak, the Hong Kong Securities & Futures Commission (SFC) has issued four reminders to fund industry participants and intermediaries of their obligations. We examine what this means for firms.

Performance

Thought Leadership

March 31, 2020

The 2020 GIPS Standards: Explanation of the Provisions for Firms – Sections 1 and 3

Since the release of the 2020 GIPS standards, the investment community has been anxiously awaiting the arrival of what was formerly known as the GIPS Handbook. Recognizing the need for additional guidance for firms to comply with the 2020 GIPS standards, CFA Institute has committed to releasing the revised GIPS Handbook, now called Explanation of the Provisions, as they are completed.

Cybersecurity

Survey

March 31, 2020

Participate in our 2020 NSCP / ACA Cybersecurity Compliance Programs Survey

We invite you to participate in the 2020 NSCP / ACA Cybersecurity Programs Survey and learn what your peers are doing to build strong regulatory compliance programs. Participate in our survey for investment advisers and broker dealers.

COVID-19

SEC Relief for Registered Investment Companies

Compliance Alert - SEC

March 27, 2020

SEC Relief for Registered Investment Companies

The unprecedented coronavirus (COVID-19) pandemic has created many hardships that could make it difficult for registered investment companies (“funds”) to meet certain regulatory requirements.

COVID-19

Cyber Alert

March 27, 2020

Now Offering Free Cyber Awareness Training

ACA is providing our web-based cybersecurity awareness training course, free of charge until June 30, 2020. Our course provides financial services and businesses of all sizes with an effective and comprehensive review of cybersecurity risks.

Europe

White Paper

March 27, 2020

Regulatory Horizon 2020 | Key Takeaways

We recently brought together professionals from the global investment management community to speak at our conference, Regulatory Horizon 2020 | The Challenges Ahead. Find out the key compliance, technology, and cyber takeaways from the event.

COVID-19

Thought Leadership

March 26, 2020

Maintaining Information Security and Professionalism while Working from Home

These are unusual times. The coronavirus (COVID-19) pandemic has demanded new ways of human interaction, both in the business and personal worlds. This includes firms around the world directing a large number of employees to work from home.

COVID-19

Thought Leadership

March 26, 2020

Keeping Children Safe Online During COVID-19 Social Distancing

With children across the world spending more time at home (and on screens) due to the coronavirus (COVID-19) pandemic, we've updated our cyber safety guide for parents and caregivers on how to keep kids safe online.

COVID-19

Thought Leadership

March 25, 2020

Mitigating Employee Risks Related to the COVID-19 Pandemic

The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.

COVID-19

Managing Compliance Resource Constraints

Thought Leadership

March 24, 2020

Managing Compliance Resource Constraints Due to COVID-19

In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.

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

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