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 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.

abstract blue buildings looking up at sky
Compliance Alert - SEC
June 25, 2020

OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.

Compliance Alert
June 25, 2020

With CME winding down Abide, its European regulatory reporting platform, many firms now face a complex, time-critical move to an alternative transaction reporting provider. We explore what this means for affected firms and what's needed to ensure ongoing compliance.

woman typing at computer
Thought Leadership
June 24, 2020

To help mitigate the risk of ‘compliance distancing’, it's key that Compliance Officers make staff aware of their role in protecting the business. We outline regulatory requirements that help bolster a firm’s safeguards relating to investor protection, market conduct and in meeting its legal and regulatory obligations.

Thought Leadership
June 17, 2020

The transition from the London Interbank Offered Rate (LIBOR) is due to be complete by the end of 2021. With 2020 considered a critical year for the global industry to make that transition, we examine what firms should do now to prepare for the termination of LIBOR.

abstract motion blur cybersecurity composite
Cyber Alert
June 16, 2020

On June 15, 2020 widespread voice and data outages were reported across the U.S with disruptions in service among major cell service carriers, internet service providers, social media platforms, gaming sites, streaming services, banking services, delivery services, and teleconferencing platforms.

The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19
Thought Leadership
June 11, 2020

With the reopening phase of the COVID-19 pandemic underway, compliance officers will need to be strategic and agile in their approach to compliance management. Here are some key considerations to keep in mind.

Compliance Alert
June 11, 2020

18 June 2020 marks the deadline for counterparties to complete a range of requirements aligned to the amended European Market Infrastructure Regulation (EMIR REFIT). We've created a checklist for firms to check they are ready.  Read more.

SEC Guidance for Paycheck Protection Program Related Considerations
Compliance Alert
June 10, 2020

The U.S. Securities and Exchange Commission recently issued guidance to financial institutions regarding some of the disclosure requirements and other obligations related to the Paycheck Protection Program and the impact of COVID-19.

stock chart graphic
Thought Leadership
June 8, 2020

To help your firm protect itself against insider trading, ACA is providing our web-based training course free of charge until September 4.

Countering COVID-19-related Fraud and Scams phishing man image
Thought Leadership
June 8, 2020

Fraudsters are quick to exploit an opportunity and the coronavirus pandemic has led to attempts to take advantage of new working behaviors and hastily implemented government schemes. Learn about the heightened risk, as well as measures businesses can take to protect themselves and their employees.

ACA Diversity and Inclusion Pride Month
Thought Leadership
June 4, 2020

At ACA, we are committed to diversity and inclusion, creating an environment where people can be their best self in the workplace.