ACA Spotlight Blog

ACA Spotlight Blog

Risk and compliance alerts, insights, and resources for financial services firms
 

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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.

Thought Leadership
July 31, 2020

Many authorities are questioning whether mandatory password reset policies are worth the hassle.  Get ACA's guidance on when, if ever, you can remove or relax your password reset policy.

FINRA Guidance for Retail Communications Concerning Private Placement Offerings
Compliance Alert - FINRA
July 24, 2020

FINRA issued Regulatory Notice 20-21 on July 1, 2020 providing guidance for complying with FINRA Rule 2210 “when creating, reviewing, approving, distributing, or using” retail communications concerning private placement offerings.

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Thought Leadership
July 22, 2020

Running vendor management or third-party risk management (TPRM) programs can be a complicated process for both consumers and providers of services. Here are some of the current challenges with due diligence and opportunities to improve the process for all parties involved.

CCOs Guide to the GIPS Standards
White Paper
July 22, 2020

As adoption of the GIPS standards has grown over the years, ACA has seen compliance personnel take a much deeper interest in ensuring their firms meet every requirement.

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Cyber Alert
July 21, 2020

The U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) has issued an alert identifying a critical vulnerability affecting all versions of Microsoft® Windows Server® configured with the Domain Name System (DNS) role enabled. The vulnerability could potentially allow a remote attacker to gain control of affected systems. 

Compliance Alert
July 21, 2020

Regulators are placing increasing importance on senior managers taking personal responsibility and accountability for regulatory reporting under SM&CR. We examine what this means for firms in scope of the MiFIR, EMIR or SFTR reporting regime.

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Cyber Alert
July 20, 2020

The Court of Justice of the European Union (CJEU) has determined that the Privacy Shield agreement, a key data sharing agreement that allows signatory U.S. companies to transfer EU resident personal data to the U.S., is no longer valid. Learn what action you may need to take due to this change.

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Thought Leadership
July 17, 2020

The California Consumer Privacy Act (CCPA) went into effect on 1/1/20 and enforcement began on 7/1/20. There has already been considerable activity on the class action front, much of it even before the enforcement date. Review what you need to do to avoid CCPA penalties.

2020 Investment Management Compliance Testing Survey Results
Survey
July 16, 2020

From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.

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Cyber Alert
July 13, 2020

The SEC OCIE has issued an alert warning of an increase in the sophistication of ransomware attacks against SEC registrants with attackers using advanced phishing and other social engineering tactics to penetrate financial institution networks and install malware that limits company access to data until a ransom is paid. 

Q3 2020 Regulatory Reporting Deadlines
Compliance Alert
July 10, 2020

ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.

Summary of FINRA Regulatory Actions in Q1 2020
Compliance Alert - FINRA
July 9, 2020

The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000‬‬ in the first quarter of 2020 (Q1 2020).