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Insights

January 21, 2020 | Compliance Alert - SEC

On January 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) published Frequently Asked Questions on Regulation Best Interest. Regulation Best Interest (“Reg BI”) establishes a standard of conduct for broker-dealers and investment advisers and their associated persons. Its compliance date is June 30, 2020.

January 17, 2020 | Compliance Alert

Changes to the Securities Financing Transaction Regulation (SFTR) come into force for many financial services firms from 11 April. We examine what firms need to do to determine their reporting requirements and why they should do this now

January 17, 2020 | Compliance Alert - SEC

On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities. In this alert, we focus on on the impact of the priorities on registered investment companies.

January 16, 2020 | Cyber Alert

Learn what actions to take regarding the recent Microsoft® security update to the CryptoAPI component (Crypt32.dll).

 

January 14, 2020 | Press Release

Shvetank joins ACA from executive positions at CEB/Gartner and will oversee ACA’s global operations

ACA Compliance Group (“ACA”) announced today the Board of Directors has appointed Shvetank Shah as Chief Executive Officer (“CEO”) and member of the Board of Directors effective immediately. Shvetank previously worked at Gartner where he held many leadership roles including Senior Vice President of its Technology & Service Provider practice. Shvetank will be based in ACA’s Silver Spring, MD office.

As ACA’s CEO, Shvetank will oversee all global operations and the corporate...

January 13, 2020 | Compliance Alert

With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.

January 10, 2020 | Compliance Alert - SEC

On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.

January 8, 2020 | Thought Leadership

The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.

January 7, 2020 | Cyber Alert

Learn more about the Cloudhopper cloud managed service provider breach and determine what actions your firm may need to take by January 10.

December 31, 2019 | Survey

Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.

December 30, 2019 | Thought Leadership

Recap of our 2019 product updates, insights, webcasts, and other resources for  ACA Aponix cybersecurity and privacy services.

December 20, 2019 | Thought Leadership

As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.

December 19, 2019 | Thought Leadership

Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.

December 19, 2019 | Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

December 18, 2019 | Thought Leadership

Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

December 16, 2019 | Compliance Alert

In a December 10 interview, California Attorney General (AG) Xavier Becerra provided insight into planned enforcement for the upcoming implementation of the California Consumer Privacy Act (CCPA). Per the interview, the effort firms take to comply will affect the severity the AG takes in enforcement.

December 13, 2019 | Thought Leadership

A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.

December 12, 2019 | Compliance Alert

The Cayman Islands Monetary Authority (“CIMA”) has made significant changes to its Anti-Money Laundering (“AML”) regulations in recent years, including updating the definition of Financial Service Provider (“FSP”) making private investment vehicles, such as hedge funds, private equity funds, and real estate funds domiciled in Cayman Islands, subject to Cayman Island’s AML regime. 

December 11, 2019 | Press Release

We're pleased to announce that ACA Aponix has been named Due Diligence Firm of the Year for the third year running in the M&A Advisor’s 14th Annual Turnaround Awards. The awards recognize the leading transactions, firms, and individuals in the distressed investing and reorganization industry.

The 2020 nominations represented over 240 participating companies and were judged by an independent jury of industry experts. The awards will be presented at...

December 11, 2019 | Compliance Alert

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.

December 6, 2019 | Thought Leadership

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.

December 2, 2019 | Thought Leadership

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.

November 27, 2019 | Compliance Alert

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?

November 25, 2019 | Thought Leadership

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.

November 22, 2019 | Press Release

ACA is proud to announce that ACA Aponix was named the Due Diligence Firm of the year at the 18th Annual M&A Advisor Awards. The awards were announced at the 2019 M&A Advisor Awards at the 18th Annual Gala on Tuesday, November 19th.

The Annual M&A Advisor Awards recognize the professionals whose activities set the standard for M&A transactions. This year, over 200 nominees, representing over 500 companies, became finalists for the awards, and winners were chosen by an independent...