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

COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?

Download our surveillance gap assessment checklist to see how your program measures up.

Article
  • Regulatory Technology
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing
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COVID-19 and Working Remotely: Reminding Staff of Their Compliance Obligations

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

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
cyber code

Countering COVID-19-related Fraud and Scams

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

FCA Market Watch 63 Reminds Firms of Market Abuse and Reporting Requirements During the COVID-19 Crisis

The FCA’s recently published Market Watch 63 reminds firms that they must continue to comply with their obligations around market conduct and reporting during the COVID-19 crisis. It highlights some changes to market activities and alternative working arrangements which represent a higher risk. We examine how firms should respond to the regulator's concerns.

Compliance Alert
  • Compliance
  • COVID-19
  • Trade Surveillance
Compliance Alert

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

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
  • Cybersecurity

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