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.

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Compliance Alert
December 11, 2019

From 1 January 2020, many UK fund managers and providers will be more responsible and accountable for financial management as well as environmental, social and governance ESG. We examine what these changes mean for firms.

Emerging Internal Audit Risks
Thought Leadership
December 6, 2019

Regulators increasingly expect internal audit teams to continually develop and enhance their audit plans in the face of new risks. An internal audit team must be proactive to stay one step ahead of emerging risks.

Cyber Monday Cyber Safety Tips
Thought Leadership
December 2, 2019

It’s Cyber Monday, the unofficial start to the online holiday shopping season. In the wake of the recent Macy’s breach and other high-profile cyber incidents, it’s important to protect your online identity by controlling the amount of personal information that is available online and ensure that your data is transmitted safely every time you use your credit card online. Here are a few tips for cyber safety on Cyber Monday.

Record Fine Issues
Compliance Alert
November 27, 2019

Yesterday, the UK arm of a large international banking group was issued a record fine of £44 million for governance and control failings surrounding its capital adequacy and regulatory reporting. What lessons can firms learn from this enforcement?

Analysis and Review Center (ARC)
Thought Leadership
November 25, 2019

Over-burdened Chief Compliance Officers and compliance teams that are stretched too thin are more likely to experience burnout and make mistakes, exposing firms to risk. We examine how outsourcing can help improve standards, reduce risk, create operational efficiencies and ultimately bring about cost savings.

Customer Due Diligence: Preparing for Focus in U.S. Regulatory Examinations
Thought Leadership
November 22, 2019

The customer due diligence (CDD) rule went into effect May 11, 2018. Now that firms have had sufficient time to make any necessary changes needed to implement the rule, it is likely that regulators will focus on CDD implementation within examinations.

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White Paper
November 22, 2019

Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

Model Delivery Trends
Thought Leadership
November 14, 2019

The demand and appetite for model portfolios is rapidly increasing among investment advisors. A recent report released from Broadridge revealed that assets in model portfolios now stand at $2.7 trillion and are expected to double by 2023.

skyscrapers looking up
Compliance Alert
November 13, 2019

In recent weeks global regulators have issued communications regarding their ongoing commitment to detecting and punishing insider trading, market abuse, and other misconduct by investment management firms. The common thread? Technology.

ACA Compliance Group
Thought Leadership
November 12, 2019

ACA Compliance Group's Greg Mekanik recently shared his insights with the Hedge Fund Law Report in a three-part series on the practical implications of the SEC’s interpretation regarding standard of conduct for investment a

Compliance Alert
November 12, 2019

The SEC has extended its no-action letter relief on MiFID II Research Payments until July 2023. We examine the longer-term implications of the Extension Letter and outline interesting points raised by the regulator.

Thought Leadership
November 11, 2019

In less than one month, the Senior Managers & Certification Regime (SM&CR comes into force. Many Solo-regulated firms may need to accelerate the pace at which they are preparing for regime. Download our five-point checklist to benchmark your readiness ahead of the 9 December 2019 deadline.