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.

Compliance Alert
July 21, 2020

Regulators are placing increasing importance on senior managers taking personal responsibility and accountability for regulatory reporting under SM&CR. We examine what this means for firms in scope of the MiFIR, EMIR or SFTR reporting regime.

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Cyber Alert
July 20, 2020

The Court of Justice of the European Union (CJEU) has determined that the Privacy Shield agreement, a key data sharing agreement that allows signatory U.S. companies to transfer EU resident personal data to the U.S., is no longer valid. Learn what action you may need to take due to this change.

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Thought Leadership
July 17, 2020

The California Consumer Privacy Act (CCPA) went into effect on 1/1/20 and enforcement began on 7/1/20. There has already been considerable activity on the class action front, much of it even before the enforcement date. Review what you need to do to avoid CCPA penalties.

2020 Investment Management Compliance Testing Survey Results
Survey
July 16, 2020

From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.

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Cyber Alert
July 13, 2020

The SEC OCIE has issued a Risk Alert warning of an increase in the sophistication of ransomware attacks against SEC registrants with attackers using advanced phishing and other social engineering tactics to penetrate financial institution networks and install malware that limits company access to data until a ransom is paid. 

Q3 2020 Regulatory Reporting Deadlines
Compliance Alert
July 10, 2020

ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.

Summary of FINRA Regulatory Actions in Q1 2020
Compliance Alert - FINRA
July 9, 2020

The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000‬‬ in the first quarter of 2020 (Q1 2020).

Compliance Alert
July 1, 2020

The FCA and Treasury have agreed to extend the deadline for FCA solo-regulated firms’ assessment of their Certified Staff as fit and proper by just over 100 days, to 31 March 2021. We examine what firms need to do to make sure they are compliant by the new deadline. 

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Thought Leadership
July 1, 2020

Download our surveillance gap assessment checklist to see how your program measures up.

Compliance Alert
June 30, 2020

Whilst lockdown restrictions start to ease and the green shoots of a post-pandemic world tentatively emerge, two notable developments have come out of the UK government this week. What do these indicate about the UK's financial services post-Brexit?

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Thought Leadership
June 29, 2020

As we approach the California Consumer Privacy Act (CCPA) enforcement deadline you may be wondering what happens next. We have updated our CCPA FAQs with the most up-to-date information.

Compliance Deadline Approaching for Regulation Best Interest and Form CRS
Compliance Alert - SEC
June 26, 2020

The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.