Insights
Annie Morris Joins ACA Group as Chief Product Officer
Annie Morris has joined the ACA as Chief Product Officer (CPO) to lead ACA’s integrated product strategy and vision.
- ACA News
Continued Developments in International Measures Against Russia
We explore how the continued regulatory developments from Western governments relating to Russia’s actions towards Ukraine affect financial firms.
- Cybersecurity
- Cybersecurity Resources
- AML and Financial Crime
- Compliance
SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms
The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.
- Compliance
- eComms Surveillance
- RegTech
Guidance on Impersonated Registered Domain Names
A summary of what to look for in a threatening domain and how to mitigate a substantiated threat
- Cybersecurity
- Cybersecurity Resources
NSCP Firm and CCO Liability Framework Can Ease CCOs’ Liability Concerns
The NSCP Framework is a practical approach to CCO liability that promotes investor protection and market integrity, addressing compliance professionals' fears of being held personally liable in unreasonable situations.
- Compliance
ACA Celebrates Black History Month by Discussing Gaps in Health and Wellness
In honor of Black History Month, ACA's Connected Black Professionals Group hosted a number of speakers to discuss bridging the gap in health and wellness with ACA employees.
- ACA News
SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
On February 10, 2022, the SEC voted to propose amendments regarding beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed rules would accelerate the filings deadline of Schedule 13D and 13G filings.
- Compliance
FCA Reminds Firms of their Financial Sanctions Obligations in the Light of New UK Measures Against Russia
The FCA has reminded firms of their financial sanctions obligations in the light of new UK measures against Russia. We outline key reminders and requirements for regulated firms to observe.
- Compliance
Ukrainian-Russian Conflict Escalates: How Developing Sanctions Affect U.S. Asset Managers
All U.S. persons and entities, including financial firms, are required to abide by the current OFAC sanctions against Russia. Firms should review their KYC, sanctions, and due diligence efforts in light of the changing OFAC mandates.
- AML and Financial Crime
- Compliance
Updated: Firms Encouraged to Remain Vigilant Due to Heightened Cybersecurity Concerns Over the Current Situation in Ukraine
In light of recent geopolitical issues with Russia and Ukraine, both the UK’s National Cyber Security Centre and the U.S. Cybersecurity & Infrastructure Security Agency (CISA) have released guidance on action steps firms can take to bolster and protect their cyber programs.
- Cybersecurity
- Cybersecurity Resources