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.

abstract motion blur cybersecurity composite
Cyber Alert
April 3, 2020

Security issues with video and audio conferencing tools, particularly Zoom, have increased during the pandemic.  Learn what steps firms and individuals should take to protect themselves from this risk.

abstract motion blur cybersecurity composite
Cyber Alert
April 3, 2020

Researchers have discovered multiple computer viruses and destructive software (malware) that use coronavirus and COVID-19 themes. These malware programs can be significantly damaging to systems and the data they maintain.

Tips to Enhance Electronic Communication Surveillance
Thought Leadership
April 2, 2020

With reduced face-to-face interactions, employees are increasingly turning to electronic devices and platforms to communicate with their co-workers and clients. Increased electronic communication traffic can result in additional risks. Regulators, although providing relief in certain areas, still expect the compliance role to function effectively to mitigate these risks.

Hong Kong buildings
Compliance Alert - SFC
April 1, 2020

Responding to volatility in local and international markets following the COVID-19 outbreak, the Hong Kong Securities & Futures Commission (SFC) has issued four reminders to fund industry participants and intermediaries of their obligations. We examine what this means for firms.

ACA GIPS 2020 Provisions
Thought Leadership
March 31, 2020

Recognizing the need for additional guidance for firms to comply with the 2020 GIPS standards, CFA Institute has committed to releasing the revised GIPS Handbook, now called Explanation of the Provisions, as they are completed.

Compliance Alert
Compliance Alert
March 31, 2020

ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings.

2020 NSCP / ACA Cybersecurity Compliance Programs Survey
Survey
March 31, 2020

We invite you to participate in the 2020 NSCP / ACA Cybersecurity Programs Survey and learn what your peers are doing to build strong regulatory compliance programs. Participate in our survey for investment advisers and broker dealers.

SEC Relief for Registered Investment Companies
Compliance Alert - SEC
March 27, 2020

The unprecedented coronavirus (COVID-19) pandemic has created many hardships that could make it difficult for registered investment companies (“funds”) to meet certain regulatory requirements.

Horizon over globe
White Paper
March 27, 2020

We recently brought together professionals from the global investment management community to speak at our conference, Regulatory Horizon 2020 | The Challenges Ahead. Find out the key compliance, technology, and cyber takeaways from the event.

work from home
Thought Leadership
March 26, 2020

These are unusual times. The coronavirus (COVID-19) pandemic has demanded new ways of human interaction, both in the business and personal worlds. This includes firms around the world directing a large number of employees to work from home. 

kids on devices
Thought Leadership
March 26, 2020

With children across the world spending more time at home (and on screens) due to the coronavirus (COVID-19) pandemic, we've updated our cyber safety guide for parents and caregivers on how to keep kids safe online.

Mitigating Employee Risks Related to the COVID-19 Pandemic
Thought Leadership
March 25, 2020

The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.