ACA Spotlight Blog

ACA Spotlight Blog

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


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.

curved tunnel of train in warped speed of light
Thought Leadership
October 22, 2019

As you prepare to close 2019 strong and get ready for 2020, budgeting for RegTech as an efficient and cost-effective way to drive efficiencies and build a strong compliance program should be top of mind. Download our infographic to see how your peers are implementing - and budgeting for - RegTech.

transaction reporting seven more to study blog header
Compliance Alert - FCA
October 22, 2019

Following on from Market Watch 59, the FCA has just published Market Watch 62 where yet again it is taking aim at the numerous data quality issues seen in MiFIR transaction reports. The FCA’s persistent focus on the topic and the fact that many firms do not appear to be taking on board their observations make it increasingly likely that the FCA’s patience might be wearing thin.

FT Adviser regtech
Thought Leadership
October 18, 2019

ACA's Patrick Conroy recently shared his insights on the benefits of regulatory technology (RegTech) with FT Adviser.

Robotic Process Automation for AML Compliance
Thought Leadership
October 18, 2019

Robotic Process Automation (RPA) refers to the use of software to perform repetitive, routine tasks that are considered monotonous and uninteresting to humans.

In its simplest definition, RPA is:

Cybersecurity from Home to Work
Thought Leadership
October 17, 2019

A cyber-attack can happen at any time, often when we least expect it. Many of us wouldn't even think of the possibility of being hacked during something as routine as our morning commute. However, the reality is that many of us use electronic devices every day, all day, that can become targets for cyber crime. The good news is we can prevent these attacks. This blog post discusses how.

FINRA Releases Resources for Regulation Best Interest
Compliance Alert - FINRA
October 16, 2019

On October 8, 2019, FINRA released a new Reg BI and Form CRS Checklist to help firms determine whether their supervisory systems are in compliance with Regulation Best Interest and the Form CRS Relationship Summary.

CCPA amendments
Compliance Alert
October 16, 2019

Learn more about the California Consumer Privacy Act (CCPA) amendments signed into law October 11, 2019. The CCPA, with the accepted amendments, will go into effect on January 1, 2020. 

Man reading market data
Compliance Alert - FCA
October 9, 2019

Despite being pleased with progress so far around Research Unbundling, the FCA says it's a work in progress. The regulator will conduct another review in 18-24 months. What must firms consider to ensure their approach to research payments meets regulatory expectations? 

Credit Managers GIPS 2020
White Paper
October 7, 2019

New York State Insurance Fund released an RFP last week seeking managers for up to $1 billion to be distributed across high yield corporate bonds, bank loans, CLOs, or some combination of all three asset classes.

7 Vital Components of an Internal Audit Charter
Thought Leadership
October 4, 2019

The Institute of Internal Auditors (IIA) published a new position paper on September 19, 2019 about the importance of an Internal Audit Charter and how it enhances the effectiveness of the Internal Audit function.

SEC Adopts ETF Rule
Compliance Alert - SEC
October 2, 2019

On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.

employee compliance screen
Product Update
October 1, 2019

We’re excited to announce the launch of ComplianceAlpha®2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.