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, 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. 

For ACA compliance alerts prior to March 2019, see our News Archive.

ACA Compliance Group
Thought Leadership
November 12, 2019

ACA Compliance Group's Greg Mekanik recently shared his insights with the Hedge Fund Law Report in a three-part series on the practical implications of the SEC’s interpretation regarding standard of conduct for investment a

Compliance Alert
November 12, 2019

The SEC has extended its no-action letter relief on MiFID II Research Payments until July 2023. We examine the longer-term implications of the Extension Letter and outline interesting points raised by the regulator.

Hong Kong SFC Issues New Guidelines on Electronic Data Storage
Compliance Alert
November 8, 2019

Learn more about the new guidelines on Electronic Data Storage issued by the Hong Kong SFC.

SEC Proposes Expansive Changes to Marketing and Advertising Rules
Compliance Alert - SEC
November 8, 2019

In an effort to ensure that the regulations applying to investment advisers remain relevant in the digital age, the staff of the SEC announced significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. Read our compliance alert to learn more.

SEC Division of Enforcement Publishes 2019 Annual Report
Compliance Alert - SEC
November 6, 2019

Read our summary of notable findings from the SEC Enforcement Division's Annual Report covering FY 2019.

ACA Compliance Group Pay-to-Play Monitoring Best Practices
Thought Leadership
November 5, 2019

A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.

FINRA Publishes 2019 Examination Findings Report
Compliance Alert - FINRA
November 4, 2019

On October 16, 2019, FINRA published its 2019 Report on Examination Findings and Observations. The Report lists FINRA’s examination findings and observations for the current year.

FINRA to Review Members for Regulation Best Interest Preparedness
Compliance Alert - FINRA
October 31, 2019

Last week, William St. Louis, FINRA Senior Vice President and Regional Director, stated at the SIFMA C&L New York Regional Seminar that the regulator would begin reviewing firms in November to assess their Regulation Best Interest compliance readiness. Reg BI becomes effective on June 30, 2020.

password strength best practices
Thought Leadership
October 31, 2019

Passwords are the most common method of authentication, but remembering a unique password for each account you have can be a pain. Here are ACA Aponix's best practices for creating and managing passwords to help protect your accounts from a cyber-attack.

Relationship of Trust: The Audit Committee and Internal Audit
Compliance Alert
October 25, 2019

The Institute of Internal Auditors (IIA) published a position paper on September 19, 2019 about the importance of Relationships of Trust - Building Better Connections Between the Audit Committee and Internal Audit. The position paper highlights the critical relationship between internal audit and the audit committee.

London bridge at night long exposure
Compliance Alert - FCA
October 24, 2019

The FCA has published Market Watch 62, in which it expresses significant concerns about authorised firms’ systems and controls when it comes to Personal Account Dealing (“PAD”).

ACA Consultant's Corner Q&A Podcast: Leigh Emery
Thought Leadership
October 22, 2019

With less than three months of the year remaining, compliance professionals are feeling the pressure to cross off those final to-do’s for 2019 and build a strong foundation for 2020. To get firsthand insight on the challenges CCOs face, we sat down with one of ACA’s newest senior principal consultants and former CCO, Leigh Emery, to chat about the year-end obstacles, how to overcome them, and what trends to prepare for in 2020.