ACA Spotlight Blog

ACA Spotlight Blog

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

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ACA's experienced compliance, risk, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog now 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.

SEC Announces 2020 Examination Priorities
Compliance Alert - SEC
January 10, 2020

On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.

man looking through paperwork on desk with magnifying glass
Thought Leadership
January 8, 2020

The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.

Cloudhopper Cyber Alert
Cyber Alert
January 7, 2020

Learn more about the Cloudhopper cloud managed service provider breach and determine what actions your firm may need to take by January 10.

2019 Alternative Fund Manager Compliance Survey Results
Survey
December 31, 2019

Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.

cybersecurity background
Thought Leadership
December 30, 2019

Recap of our 2019 product updates, insights, webcasts, and other resources for  ACA Aponix cybersecurity and privacy services.

Thought Leadership
December 20, 2019

As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.

December 2019 Broker-Dealer Newsletter
Newsletter
December 19, 2019

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

new year's eve fireworks and lights
Thought Leadership
December 19, 2019

Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.

2020 Regulatory Reporting Deadlines Calendar
Thought Leadership
December 18, 2019

Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

CA AG Signals Approach to Upcoming CCPA Enforcement
Compliance Alert
December 16, 2019

In a December 10 interview, California Attorney General (AG) Xavier Becerra provided insight into planned enforcement for the upcoming implementation of the California Consumer Privacy Act (CCPA). Per the interview, the effort firms take to comply will affect the severity the AG takes in enforcement.

writing in a notebook
Thought Leadership
December 13, 2019

A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.

CIMA Continues Focus on AML
Compliance Alert
December 12, 2019

The Cayman Islands Monetary Authority (“CIMA”) has made significant changes to its Anti-Money Laundering (“AML”) regulations in recent years, including updating the definition of Financial Service Provider (“FSP”) making private investment vehicles, such as hedge funds, private equity funds, and real estate funds domiciled in Cayman Islands, subject to Cayman Island’s AML regime.