Insights
FTC 'Safeguards Rule' Strengthens Data Security Requirements and Broadens the Scope of Financial Institutions Who Must Comply
FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions
- Cybersecurity
- Cybersecurity Resources
FCA Confirms Changes to MiFID II Rules on Research Plus an End to RTS 28 Reports on Best Execution
The FCA published Policy Statement PS 21/20 on Changes to UK MiFID’s conduct and organisational requirements on 30 November 2021, confirming the FCA’s proposals as set out in Consultation Paper CP 21/9.
- Compliance
Q1 2022 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.
- Compliance
- RegTech
- Regulatory Deadlines
ACA's Top 10 Articles of 2021
As we reflect on the past year, we wanted to take a moment to look back at our most popular articles from 2021.
- Compliance
- Performance
- Cybersecurity
- AML and Financial Crime
- Trade Surveillance
ACA's Top 10 Webcasts of 2021
As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.
- Compliance
- Performance
- ESG
- Cybersecurity
- RegTech
Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021
With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.
- RegTech
- eComms Surveillance
- Trade Surveillance
The Changing Compliance Landscape for Venture Capital & Other Private Markets Fund Managers
Although many venture capital firms in the U.S. today are exempt reporting advisers (ERAs), scrutiny of these firms has increased.
- Compliance
2021: The Year in Review
As you look ahead to 2022, here are a few of 2021’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.
- Compliance
The UK National Security and Investment Act 2021 – sneaking into force early 2022
The UK National Security and Investment Act of 2021 (NSI) comes into force on 4 January 2022. It allows the UK Government to scrutinise and block any acquisition they feel may harm national security. Learn how this impacts your firms future acquisition plans:
- Compliance
Log4Shell Vulnerability: What We Know and Action Steps to Take
Following our Cyber Alert last week, “Java Log4Shell Zero-Day Vulnerability Discovered; Immediate Patching Advised for Millions of Users", on December 10th a critical vulnerability was publicly disclosed in the Apache Log4j Java-based logging package, which is commonly used by organizations across the world.
- Cybersecurity
- Cybersecurity Resources