ACA Spotlight Blog

ACA Spotlight Blog

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

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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.

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Product Update
October 15, 2020

This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.

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Thought Leadership
October 14, 2020

Risk and compliance officers today are faced with an unprecedented level of complexity and change.

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Compliance Alert
October 14, 2020

The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.

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Product Update
October 13, 2020

The solution combines ACA’s regulatory technology (RegTech) and managed services to provide our clients with a full-service, cost-effective offering for meeting their requirements under various KYC and CIP regulations in the U.S., Europe, and Cayman Islands.

CFTC Approves Final Rule Amending Form CPO-PQR
Compliance Alert - CFTC
October 12, 2020

On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Final Rule) amending Form CPO-PQR and

Thought Leadership
October 12, 2020

Cyber threats are constantly evolving and hackers are always looking for new methods to attack -  stay on top of new threats and address them as quickly as possible by subscribing to our free cyber alerts.

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Cyber Alert
October 9, 2020

The Financial Industry Regulatory Authority (FINRA) has issued an alert regarding the appearance of fake emails purporting to be from the authority requesting that recipients fill out a survey. Learn what to look out for and how to protect your firm.

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Thought Leadership
October 9, 2020

U.S. companies are finding themselves on uncertain terrain as they struggle to understand the implications of the recent EU decision to strike down the Privacy Shield agreement  Get ACA's guidance on what steps to take to reduce risk in data transfers.

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Thought Leadership
October 8, 2020

RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.

Product Update
October 8, 2020

We’re excited to announce our new complete cybersecurity program, Aponix Protect, a comprehensive cybersecurity and technology solution offering provides firms with a risk management framework to boost cyber and operational resilience.

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Compliance Alert
October 5, 2020

Indications are that the SEC has begun to approve pending registrations of UK-based advisers wishing to do business in the U.S or to attract U.S. investors. We outline what this means for firms.

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Cyber Alert
October 2, 2020

On October 1, the U.S. Treasury’s FinCEN and OFAC issued advisories warning of the growing threat of ransomware to U.S. business and individuals, describing recent trends in that area of digital crime, and pointing to the needs for proper safeguards and reporting, especially in light of potential violations of sanctions rulings.