GRC hot topics
ESG industry veteran, Dan Mistler, hired as partner to head up ACA's new practice that provides firms with a dedicated governance, risk, and compliance advisory service to address their environmental, social and governance regulatory compliance, cyber and performance challenges
- ACA News
Mimecast® e-mail security company has reported a breach that affects 10% of users in which hackers may be able to access company email and other data as well as infiltrate company networks. Learn how to protect yourself from this breach.
FCA Market Watch 66 – Communications Recording Remains a Focus as Employees Continue to Work From Home
In its Market Watch 66, the FCA reminds firms around of their obligations to record telephone conversations and electronic communications - regardless of COVID-19 induced work environments. We examine considerations and requirements for firms.
Regulators have taken steps to probe companies’ levels of exposure to the SolarWinds hack. Learn what information and actions have been requested so far.
The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).
- SEC Marketing Rule
Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.
From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.
Following HM Treasury & ESMA announcements, the FCA has provided an update on the notification and reporting of short sales under its newly onshored regime. We examine the revised UK regime and explore if this is an early taste of post-Brexit accommodation.
The California Privacy Rights Act of 2020 (CPRA) is a new data privacy law that substantially updates the existing California Consumer Privacy Act (CCPA) to bring California's privacy regulations in