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Insights

March 27, 2020 | Thought Leadership

ACA is providing our web-based cybersecurity awareness training course, free of charge until June 30, 2020. Our course provides financial services and businesses of all sizes with an effective and comprehensive review of cybersecurity risks.

March 27, 2020 | White Paper

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.

March 27, 2020 | Compliance Alert - SEC

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. Given this, the Securities and Exchange Commission (“SEC”) has issued emergency relief funds can take advantage of, if necessary, during this period of unrest. We recap this relief below.

March 26, 2020 | Thought Leadership

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.

March 26, 2020 | Thought Leadership

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. 

March 25, 2020 | Thought Leadership

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.

March 24, 2020 | Compliance Alert

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).

March 24, 2020 | Thought Leadership

In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.

March 20, 2020 | Thought Leadership

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.

March 18, 2020 | Compliance Alert

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 .

March 18, 2020 | Compliance Alert

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.

March 18, 2020 | Thought Leadership

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.

March 17, 2020 | Thought Leadership

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.

March 16, 2020 | Compliance Alert

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%.

March 13, 2020 | Thought Leadership

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.

Recently, we hosted a live Q&A session to answer some of the most pressing questions firms have about addressing the operational challenges created by the COVID-19 pandemic. We compiled many of the questions we received during the broadcast and...

March 13, 2020 | Compliance Alert

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.

March 13, 2020 | Thought Leadership

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. ACA is monitoring the situation and providing updates about how our clients can prepare for and manage disruptions caused by COVID-19. Regulators are continuing to exercise robust oversight, including through remote exams and automated market surveillance, while at the same time providing thoughtful and targeted relief.

March 13, 2020 | Cyber Alert

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.

March 11, 2020 | News

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.

March 10, 2020 | Compliance Alert

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.

March 10, 2020 | Press Release

ACA Compliance Group (ACA), today announced that it has become a global sponsoring partner of the Alternative Investment Management Association (AIMA). The move is designed to reinforce ACA’s unwavering commitment to providing the hedge fund community a superior customer experience through specialised expertise, a deep understanding of the regulatory landscape, and the holistic use of technology to maximise efficiencies and value to clients.

March 10, 2020 | Thought Leadership

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).

March 6, 2020 | Thought Leadership

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

March 3, 2020 | Compliance Alert

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.

March 2, 2020 | Thought Leadership

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.