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Insights

February 27, 2020 | White Paper

ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.

February 26, 2020 | Thought Leadership

The Outsourced Chief Investment Officer (“OCIO”) model became widely adopted about a decade ago and since then the industry has grown rapidly, with well over 100 firms providing some level of these services.

February 20, 2020 | Thought Leadership

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.

February 19, 2020 | Product Update

Payment fraud threats are a major concern for financial services firms globally, with fraud trends reflecting a continued and sustained growth over the past few years. It has become essential that firms are proactive in predicting and assessing their exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident. 

February 19, 2020 | Press Release

ACA Compliance Group (“ACA”) announced today the availability of its new payment and fraud risk assessment (“PFRA”) offering, which is designed to help firms identify and remediate vulnerabilities within payment flows in order to reduce the risk of costly fraud issues. The service is overseen by the ACA Aponix® division’s senior principal consultant Kamlesh Harry.

February 14, 2020 | Thought Leadership

While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.

February 13, 2020 | Compliance Alert - FINRA

FINRA's Enforcement Division brought 108 enforcement actions and levied fines against member firms that totaled $57,981,625‬‬ in 2019. These numbers mark a significant decrease in the enforcement actions and total fines from 2018.

February 12, 2020 | Press Release

New insider trading and market abuse rules in ComplianceAlpha's Employee Compliance solution allow firms to monitor their employees' trading activity for potential insider trading, market abuse, and other misconduct.

February 12, 2020 | Product Update

Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.

February 11, 2020 | Press Release

We're pleased to announce that ACA Aponix was named Best Cybersecurity Provider and ACA Compliance Group was named Best RegTech Solution by the 2020 HFM US Technology Awards​​. This marks the second year in a row that ACA was named Best RegTech Solution by the HFM US Technology Awards. The awards were announced on February 5 at a ceremony in New York.

February 10, 2020 | Survey

Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.

February 7, 2020 | Compliance Alert - SEC

On January 7, 2020, the Securities and Exchange Commission's ("SEC’s") Office of Compliance Inspections and Examinations (the “OCIE”) released its 2020 Examination Priorities Letter outlining exam priorities for broker-dealers, registered investment advisers, and other types of registrants.

In its letter, the OCIE identified the following areas related to broker-dealers that are similar to...

February 7, 2020 | Compliance Alert - ESMA

The European Securities Market Authority ("ESMA") and the European Commission have today confirmed that non-EU Alternative Investment Funds ("AIFs") (i.e. AIFs not established in the EU) will not be subject to Securities Financing Transaction Regulation ("SFTR") reporting obligations.

February 6, 2020 | Thought Leadership

The recent last minute extension of the Chinese Lunar New Year market closure proved to be troublesome for some mutual funds and ETFs compliance with the Liquidity Risk Management Program. We outline how to prepare for such unexpected changes.

February 5, 2020 | Thought Leadership

Our M&A Due Diligence Challenges blog series addresses the changing nature of IT, cybersecurity, and data privacy and how investors can manage these risks and increase their chances of achieving a successful M&A transaction. Part 2 covers Transition Management and Day 1 / 100 days planning.

February 4, 2020 | Compliance Alert - FINRA

On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.

February 3, 2020 | Thought Leadership

This week is Tax Identity Theft Awareness Week in the U.S. As tax filing season kicks off, it’s important to be on the lookout for tax scams. We share our tips for staying diligent and resources to share with your employees and friends.

January 30, 2020 | Compliance Alert - CFTC

2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review these notices from 2019 as you plan your 2020 compliance program.

January 28, 2020 | Thought Leadership

Data Privacy Day is a great opportunity to evaluate your level of data privacy compliance for your firm, especially for CCPA. Join our webcast with Compliance Week to learn what you need to know about this new privacy regulation.

January 28, 2020 | Compliance Alert

Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.

January 28, 2020 | Cyber Alert

SEC's OCIE released Cybersecurity and Resiliency Observations from its examinations of SEC-registered firms. Here's what you need to know.

January 27, 2020 | Thought Leadership

As we begin 2020, here’s a list of 20 cybersecurity trends and predictions to prepare for in the coming year.

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.