COVID-19 Resources and Insights

We are closely monitoring the coronavirus (COVID-19) pandemic and how it is affecting our clients and the financial services industry. We will continue to provide regulatory updates, resources, and best practices to help your firm navigate this challenging time.

CCO's plan for COVID-19 recovery

The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19

Latest resources and insights

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Navigating Evolving Risks on the Regulatory Horizon

May 11, 2021

Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.

Article
  • Trade & Transaction
  • Compliance
  • ESG
  • Managed Services
  • Regulatory Deadlines
  • Regulatory Technology
  • ComplianceAlpha
  • FCA
  • SEC
  • Cybersecurity
  • RiskMutation
  • Brexit
  • COVID-19
  • GIPS Standards
  • Mirabella
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7 Tips to Avoid Identity Theft During the 2021 Tax Season

February 11, 2021

As the U.S. tax filing season kicks off, it’s important to be on the lookout for tax scams, especially those related to COVID-19 or any stimulus payments. Here are our tips for staying diligent and resources to share with your employees and friends.

Article
  • Cybersecurity
  • COVID-19
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RiskMutation™: Spearheading the Operational Response to Evolving Business Risks Following COVID-19

February 04, 2021

Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.

Article
  • Compliance
  • RiskMutation
  • BCP
  • COVID-19
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Revisiting Best Practices for Trade and Market Abuse Surveillance (Downloadable Checklist)

October 22, 2020

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

Article
  • Regulatory Technology
  • COVID-19
  • Trade Surveillance
Compliance Alert

SEC OCIE Issues Risk Alert on COVID-19-Related Compliance Risks and Issues

August 14, 2020

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.

Compliance Alert
  • Compliance
  • BCP
  • COVID-19
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2020 Investment Management Compliance Testing Survey Results: BCP Related to COVID-19 Now Top Compliance Concern

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.

Survey
  • Compliance
  • BCP
  • COVID-19

COVID-19 webcasts

Compliance Year in Review

Join ACA for our annual Compliance Year in Review webcast as we share SEC compliance developments from 2020 and discuss what to expect in 2021.

Webcast