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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COVID-19 and Working Remotely: Reminding Staff of Their Compliance Obligations

June 24, 2020

To help mitigate the risk of ‘compliance distancing’, it's key that Compliance Officers make staff aware of their role in protecting the business. We outline regulatory requirements that help bolster a firm’s safeguards relating to investor protection, market conduct and in meeting its legal and regulatory obligations.

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

June 11, 2020

With the reopening phase of the COVID-19 pandemic underway, compliance officers will need to be strategic and agile in their approach to compliance management. Here are some key considerations to keep in mind.

Article
  • Compliance
  • BCP
  • COVID-19
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Countering COVID-19-related Fraud and Scams

June 08, 2020

Fraudsters are quick to exploit an opportunity and the coronavirus pandemic has led to attempts to take advantage of new working behaviors and hastily implemented government schemes. Learn about the heightened risk, as well as measures businesses can take to protect themselves and their employees.

Article
  • Cybersecurity
  • COVID-19
Compliance Alert

SEC Examination Requests Related to COVID-19 Business Continuity and Operational Resilience

May 19, 2020

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced in March that it intends to engage in an ongoing outreach with registrants to assess the impacts of COVID-19, including challenges impacting operational resiliency. In the last few weeks, ACA has seen an increase in the number of examinations announced by the SEC examination staff.

Compliance Alert
  • Compliance
  • BCP
  • COVID-19
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Key Considerations for Adjusting Your Compliance Program in the Age of COVID-19

May 15, 2020

In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.

Article
  • Compliance
  • COVID-19
PE Firms

Lower IT Costs and Increase Efficiency During the COVID-19 Pandemic: A Guide for Private Equity Firms

April 21, 2020

How can PE firms reduce costs, enhance efficiency, and shore up their portfolio companies during these troubled times?

Article
  • Cybersecurity
  • Portfolio Company Risk Management
  • 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