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.

FINRA Leverages GIPS Standards
Thought Leadership
November 9, 2020

FINRA's release of Regulatory Notice 20-21 allows the use of IRR for investments or funds that have been fully realized but further requires utilizing the calculation methodologies of the Global Investment Performance Standards (GIPS) for investment programs/funds that include both realized and unrealized holdings.

California Approves CPRA, Which Amends CCPA
Cyber Alert
November 6, 2020

Learn more about the California Privacy Rights Act (CPRA), which amends the existing California Consumer Privacy Act (CCPA).

White Paper: 2020 Liquidity Risk Management Program Rule Survey Results
White Paper
November 6, 2020

To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.

abstract dots and lines
Thought Leadership
November 6, 2020

Outsourcing risk and compliance activities can help firms navigate the future of risk and compliance in the age of  RiskMutation™ through better results, increased agility, and scale for less. Get our outsourcing strategic roadmap here.

Rise in Attacks and Losses  Linked to Office 365 Misconfiguration
Cyber Alert
November 5, 2020

Recent reports from the FBI’s Internet Crime Complaint Center indicate a staggering rise in the rate of business email compromise due to exploitation of Microsoft Office 365 and other cloud-based email services.

November 2020 Broker-Dealer Newsletter
Newsletter
November 4, 2020

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter. Our latest newsletter contains a year-end compliance checklist to help broker-dealers confirm they have completed their compliance obligations for 2020.

abstract dots and lines
Thought Leadership
October 29, 2020

RegTech can help firms navigate the future of risk and compliance in the age of  RiskMutation by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.

aponix cyber week image
Thought Leadership
October 29, 2020

Each year, ACA reviews the most terrifying cybersecurity breaches of the year. Watch Raj Bakhru and Marc Lotti discuss causes and impacts of major cyber-attacks in our Scariest Cyber Breaches of 2020 webcast, now available on demand

OCC Fines Bank $85M for Compliance and IT Risk Failures
Compliance Alert - OCC
October 28, 2020

On October 14, the Office of the Comptroller of the Currency (OCC) issued a news release indicating its assessment of an $85M fine against a federal savings bank.

Union Jack with EU Flag outside Houses of Commons
Thought Leadership
October 28, 2020

The FCA recently provided updates about the impact of on-shoring EU legislation at the end of the Brexit transition period. We examine what this, the Temporary Transition Power, and changes to the FCA's handbook mean for firms.

2020 OCIO GIPS Compliance Survey
Survey
October 28, 2020

ACA and Curcio Webb conducted an industry survey in August 2020 focusing on the value of GIPS compliance among OCIOs. The results show a growing interest in compliance with the 2020 GIPS standards.

Upwards view of tall corporate buildings
Compliance Alert
October 26, 2020

The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.