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.

CFTC and NFA Regulatory Relief for CPOs and CTAs
Compliance Alert - CFTC
March 24, 2020

Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).

7 Important Actions for Managing COVID-19 Pandemic-Related Change
Thought Leadership
March 20, 2020

A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.

Business and Risk Considerations for Portfolio Companies
Thought Leadership
March 18, 2020

Operating partners within private markets need to consider the impact the COVID-19 pandemic will have on their investments, it is crucial that accurate information related to the preparedness of your portfolio companies is available in order to ensure timely decisions are being made. Read our best practices to accomplish this and they key risks to consider.

SEC Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus
Compliance Alert - SEC
March 18, 2020

On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .

Compliance Alert
March 18, 2020

In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.

padlocks binary hexagons abstract cybersecurity
Thought Leadership
March 17, 2020

ACA's Carlo di Florio recently shared his insights with FT Adviser on the need for firms to bolster their operational resilience in preparation for a potential disaster or other business disruption.

hand writing
Compliance Alert - ESMA
March 16, 2020

Responding to the serious adverse effects on the real economy and on EU financial markets posed by the COVID-19 pandemic, ESMA has announced it has temporarily lowered the threshold for net short position reporting to EU regulators to 0.1%.

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.

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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.