ACA Spotlight Blog

ACA Spotlight Blog

Risk and compliance alerts, insights, and resources for financial services firms
 

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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.

How ACA is Responding to the COVID-19 Pandemic
Thought Leadership
March 13, 2020

The rapid spread of coronavirus (COVID-19) has already had a broad range of impacts, and the situation appears likely to grow more challenging in the weeks ahead.

abstract motion blur cybersecurity composite
Cyber Alert
March 13, 2020

Cybersecurity crimes related to the coronavirus (COVID-19) pandemic are on the rise. Here's what you need to know to remain vigilant and protect yourself.

Compliance Alert
March 13, 2020

In light of the current COVID-19-induced market rollercoaster, firms are reminded of the MiFID II “10% rule”. This rule requires that firms providing portfolio management services to clients inform these clients if the overall value of their portfolio depreciates by 10% from the beginning of the last reporting period – and each 10% thereafter.

aerial view of people working at a table
Thought Leadership
March 13, 2020

More restrictions are being put in place every day to contain coronavirus disease 2019 (COVID-19) that could affect your firm’s operations. ACA is here to support you and help your firm remain vigilant and resilient in these uncertain times.

Houses of Parliament
News
March 11, 2020

The UK’s Chancellor of the Exchequer, Rishi Sunak, delivered his first Budget, dominated by a series of measures to counter the Coronavirus outbreak. Find out the key points affecting fund managers.

Business Continuity Planning Activation Checklist
Thought Leadership
March 10, 2020

We've developed a checklist to help you activate your business continuity and disaster recovery plans in response to the coronavirus disease 2019 (COVID-19).

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Compliance Alert - FCA
March 10, 2020

On 27 February 2020, the FCA wrote a 'Dear CEO' letter to all asset management firms setting its expectations for firms to prepare for the termination of LIBOR at the end of 2021. This letter is the latest in a barrage of co-ordinated messages from the UK authorities to chivvy the industry into action. We examine what this means for the buy-side community.

writing in notebook with glasses
Thought Leadership
March 6, 2020

Recent years have been demanding on financial services compliance departments and the impact of recent regulatory developments will be felt this year. Our European CCO Checklist for 2020 tracks key compliance obligations for the year ahead

Business Continuity and Disaster Recovery Planning for Coronavirus Disease 2019 (COVID-19)
Compliance Alert
March 3, 2020

With the threat of the coronavirus disease 2019 (COVID-19), firms should revisit their business continuity and disaster recovery planning in response to a pandemic.

Thought Leadership
March 2, 2020

Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.

White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond
White Paper
February 27, 2020

ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.

OCIOs look to the GIPS standards to provide greater performance transparency
Thought Leadership
February 26, 2020

The Outsourced Chief Investment Officer (“OCIO”) model became widely adopted about a decade ago and since then the industry has grown rapidly, with well over 100 firms providing some level of these services.