ACA Spotlight Blog

ACA Spotlight Blog

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


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.

FT Adviser regtech
Thought Leadership
October 18, 2019

ACA's Patrick Conroy recently shared his insights on the benefits of regulatory technology (RegTech) with FT Adviser.

Robotic Process Automation for AML Compliance
Thought Leadership
October 18, 2019

Robotic Process Automation (RPA) refers to the use of software to perform repetitive, routine tasks that are considered monotonous and uninteresting to humans.

In its simplest definition, RPA is:

Cybersecurity from Home to Work
Thought Leadership
October 17, 2019

A cyber-attack can happen at any time, often when we least expect it. Many of us wouldn't even think of the possibility of being hacked during something as routine as our morning commute. However, the reality is that many of us use electronic devices every day, all day, that can become targets for cyber crime. The good news is we can prevent these attacks. This blog post discusses how.

FINRA Releases Resources for Regulation Best Interest
Compliance Alert - FINRA
October 16, 2019

On October 8, 2019, FINRA released a new Reg BI and Form CRS Checklist to help firms determine whether their supervisory systems are in compliance with Regulation Best Interest and the Form CRS Relationship Summary.

CCPA amendments
Compliance Alert
October 16, 2019

Learn more about the California Consumer Privacy Act (CCPA) amendments signed into law October 11, 2019. The CCPA, with the accepted amendments, will go into effect on January 1, 2020. 

Man reading market data
Compliance Alert - FCA
October 9, 2019

Despite being pleased with progress so far around Research Unbundling, the FCA says it's a work in progress. The regulator will conduct another review in 18-24 months. What must firms consider to ensure their approach to research payments meets regulatory expectations? 

Credit Managers GIPS 2020
White Paper
October 7, 2019

New York State Insurance Fund released an RFP last week seeking managers for up to $1 billion to be distributed across high yield corporate bonds, bank loans, CLOs, or some combination of all three asset classes.

7 Vital Components of an Internal Audit Charter
Thought Leadership
October 4, 2019

The Institute of Internal Auditors (IIA) published a new position paper on September 19, 2019 about the importance of an Internal Audit Charter and how it enhances the effectiveness of the Internal Audit function.

SEC Adopts ETF Rule
Compliance Alert - SEC
October 2, 2019

On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.

employee compliance screen
Product Update
October 1, 2019

We’re excited to announce the launch of ComplianceAlpha®2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.

Compliance Managed Services Anniversary Infographic Header
Thought Leadership
September 27, 2019

In 2014, the ARC was created to provide a simple way for CCOs to outsource the exhaustive and time-consuming task of email communications reviews. Today, the ARC is a dedicated knowledge center that provides efficient, scalable, and cost-effective compliance support to thousands of firms with over 10 established services as well as client tailored, bespoke solutions. Learn more about how the ARC has evolved and why managed services are the wave of the future for compliance.

Thought Leadership
September 27, 2019

Breaches and cyber incidents occur when employees are not fully trained on how to identify cyber issues, policies are not being followed, and third-party systems are not fully vetted or secured.