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.

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.

ComplianceAlpha on laptop on desk with Christmas tree
Thought Leadership
December 17, 2020

Firms are turning to technology at a record rate thanks in large part to the pandemic, and regulators worldwide continue to prioritize technology innovation and data. We've curated a roundup of notable alerts and insights from ACA's experts as well as ComplianceAlpha enhancements to help you catch up and prepare for a successful 2021.

Thought Leadership
December 16, 2020

Following the end of the Brexit transition period, AIFMs wishing to market their funds should re-evaluate the AIFMD marketing notification requirements, taking into account the combination of their own jurisdiction, that of the fund, and that of their prospects in order to understand the process to follow. Our guide outlines the permutations of location of AIFMs, AIFs, and prospective investors.

Registered Investment Company 2020 Regulatory Recap
Compliance Alert - SEC
December 15, 2020

During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.

Vulnerability Reported in Microsoft Teams
Cyber Alert
December 14, 2020

A major breach has compromised confidential data at several U.S. government agencies, including the Treasury Department and the Department of Commerce exposing information from the executive branch, the military, and intelligence services. It has likewise compromised leading telecommunications firms, technology firms, and international governments.

Thought Leadership
December 14, 2020

As the Brexit transition deadline looms ever closer, in excess of 1,500 global firms will need to adapt their business models and regulatory registration arrangements to continue operating within the UK – regardless of the outcome of final Brexit  negotiations. We outline the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.

2021 Broker-Dealer Regulatory Filings Calendar
Thought Leadership
December 11, 2020

To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.

Helping Private Equity Firms Stay Ahead of Risk
Thought Leadership
December 10, 2020

On October 6, 2020, ACA Aponix held a panel discussion about portfolio company risk management at our Cyber Week Virtual Conference. The session featured panelists from leading Private Equity (PE) firms who have worked with ACA to deploy strategic portfolio company risk management programs and included participants from over 200 firms.

Compliance Alert
December 10, 2020

With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.

Vulnerability Reported in Microsoft Teams
Cyber Alert
December 9, 2020

A critical vulnerability affecting Microsoft® Teams® has been reported involving attackers sending a specially crafted chat message to Teams users. Once viewed, the message captures the recipient’s sign-on information and enables remote code execution on the user’s machine.

Hedge Fund Update
Thought Leadership
December 7, 2020

In the second edition of ACA's Hedge Fund Update we cover recent industry news, regulatory updates, enforcement actions, and more.

Compliance Checklist
Thought Leadership
December 3, 2020

As you look ahead to 2021, take a look at a few of 2020’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.