Insights
FCA Warn of 'Tough, Assertive Approach’ to Brexit TPR Landing Slot Authorisations
The FCA recently warned of "a tough, assertive approach" to financial services firms wishing to continue to operate in the UK post the Brexit Temporary Permissions Regime. Learn more about why this leaves firms at risk of being prevented from initiating further regulated activity in the UK.
- Brexit
- Compliance
Chairman Gensler Signals an Increase in Scrutiny & Regulation of Private Markets Fund Industry
U.S. SEC Chariman, Gary Gensler, recently signaled increased scrutiny of private markets fund managers. He honed in on the significant increase in the private equity and venture capital fund industry over the last 5 years.
- Compliance
- SEC
Michael Borts joins ACA Group as the new Chief Technology Officer
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
- Regulatory Technology
- ACA News
Q4 2021 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.
- Compliance
- Regulatory Deadlines
- Regulatory Technology
UNPRI’s Next Reporting Period Delayed Until Early 2023
The United Nations-supported Principles for Responsible Investment (PRI) recently announced a delay in the next PRI reporting period, along with the release of 2021 scores and public transparency reports. We outline what this means for firms.
- ESG
- Compliance
European Regulator Fines Major Trade Repository for EMIR Breaches
The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.
- Compliance
- Trade & Transaction
- Regulatory Technology
Being Smart About Your Smartphone
The more information you allow your smartphone apps to share, the easier it will be for hackers to steal this information and use it for malicious purposes. This post discusses best practices for securing your mobile device and the apps you install.
- Cybersecurity
- Cybersecurity Resources
October is Cybersecurity Awareness Month
During the month of October, businesses across the globe will focus on educating their employees on how to stay diligent and safe online. As we prepare for Cybersecurity Awareness Month, we’d like to share some resources you can use to help promote privacy and online safety at your firm.
- Cybersecurity
- Cybersecurity Resources
Password Reset Best Practices
From work-related accounts to online banking or shopping to gym memberships, passwords have long been our golden ticket to accessing the online world and keeping our accounts safe. With so many accounts and passwords, it is no surprise that account users often dread when their passwords expire, forcing them to add to their ever-expanding alphabet soup of passwords.
- Cybersecurity Resources
- Cybersecurity
Password Strength Best Practices
Passwords are the most common method of authentication, but remembering a unique password for each account you have can be a pain. Here are ACA Aponix's best practices for creating and managing passwords to help protect your accounts from a cyber-attack.
- Cybersecurity
- Cybersecurity Resources