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

Blog IAA image

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

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
Blog IAA image

Code of Ethics Concerns and Best Practices in Times of Market Volatility

With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.

Article
  • Regulatory Technology
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing
PE Firms

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

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
cyber lock

Staying on Top of Data Privacy During the COVID-19 Pandemic

Technology and information security may not be as strong in work-from-home environments as in office settings, and the risk of exposure of sensitive information may be greater. Firms need to remain vigilant about data privacy to meet regulatory expectations and protect against breaches.

Article
  • Cybersecurity
  • Privacy
  • BCP
  • COVID-19

Mitigating Employee Risks Related to the COVID-19 Pandemic

The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.

Article
  • Regulatory Technology
  • COVID-19
PE Firms

Business and Risk Considerations for Portfolio Companies During the COVID-19 Pandemic

Operating partners within private markets need to consider the impact the COVID-19 pandemic will have on their investments, it is crucial that accurate information related to the preparedness of your portfolio companies is available in order to ensure timely decisions are being made. Read our best practices to accomplish this and they key risks to consider.

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