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.

White Paper
November 23, 2020

The accuracy and quality of trade and transaction reports under MiFIR, EMIR and SFTR are a continuing source of regulatory concern, but voluminous and significant errors are still common. We examine how firms can better tackle regulatory reporting obligations.

buildings looking up
Compliance Alert
November 20, 2020

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on November 19 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.

Hedge Fund Compliance Buildings
Thought Leadership
November 19, 2020

In the first edition of our Hedge Fund Update we discuss recent industry news, settlements, and rulings. Read more to find out the latest news you may have missed. 

Compliance Alert
November 19, 2020

The implementation of the much anticipated and discussed Investment Firms Prudential Regime ("IFPR") has been delayed in the UK until 1 January 2022. We examine what this means for financial services firms.

SEC and FINRA Hold Joint Roundtable on Regulation Best Interest and Form CRS
Compliance Alert
November 18, 2020

The SEC and FINRA staff held a joint roundtable on October 26, 2020 to discuss their initial observations of broker-dealer compliance with Reg BI and Form CRS requirements since the June 30, 2020 deadline.

2021 Regulatory Filings Calendar
Thought Leadership
November 18, 2020

To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

ComplianceAlpha 2.5 Release
Product Update
November 17, 2020

ComplianceAlpha 2.5 includes new features designed to provide firms globally with deeper insights into potential risk and opportunity across the enterprise.

OCIE Issues Risk Alert Highlighting Observations from Examinations of Investment Advisers with Multiple Branch Offices’ Compliance and Supervisory Practices
Compliance Alert - SEC
November 13, 2020

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on November 9, 2020 that focused on SEC-registered investment advisers operating from numerous branch offices and with operations geographically dispersed from the adviser’s principal or main office.

2020 GIPS Standards Provisions Section 4
Thought Leadership
November 12, 2020

Section 4 of the Explanation of the Provisions focuses on the proper disclosure requirements to include in GIPS Reports to be compliant with the 2020 GIPS standards.

SEC Amends the Accredited Investor Definition
Compliance Alert - SEC
November 11, 2020

The SEC approved amendments to the “accredited investor” definition, which become effective on December 8, 2020. They aim to modernize the definition to more effectively identify institutional and individual investors that have the knowledge and expertise to participate in those markets.

Union Jack with EU Flag outside Houses of Commons
Compliance Alert
November 11, 2020

The FCA recently published details for reporting net short positions in relevant UK shares and sovereign debt from 1 January 2021. We examine how the on-shored regime for short selling will operate in the UK firms once the Brexit transition period ends.

Thought Leadership
November 10, 2020

As geopolitical change and uncertainty, regulatory sabre-rattling and industry shake-ups combine to create a perfect storm, we examine the impact for financial services firms on their trade and transaction reporting obligations under MiFIR, EMIR and SFTR.