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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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ESG alerts and insights

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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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ccpa privacy

California Approves CPRA, Which Amends CCPA

Learn more about the California Privacy Rights Act (CPRA), which amends the existing California Consumer Privacy Act (CCPA).

Cyber Alert
  • Cybersecurity
  • Privacy
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RiskMutation™ Strategic Roadmap: Outsourcing

Outsourcing risk and compliance activities can help firms navigate the future of risk and compliance in the age of RiskMutation™ through better results, increased agility, and scale for less. Get our outsourcing strategic roadmap here.

Article
  • Compliance
  • RiskMutation
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White Paper: 2020 Liquidity Risk Management Program Rule Survey Results

To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.

Report
  • Compliance
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Rise in Attacks and Losses Linked to Office 365 Misconfiguration

Recent reports from the FBI’s Internet Crime Complaint Center indicate a staggering rise in the rate of business email compromise due to exploitation of Microsoft Office 365 and other cloud-based email services.

Cyber Alert
  • Cybersecurity
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November 2020 Broker-Dealer Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter. Our latest newsletter contains a year-end compliance checklist to help broker-dealers confirm they have completed their compliance obligations for 2020.

Newsletter
  • Compliance
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Lessons Learned from the Scariest Cyber Breaches of 2020

Each year, ACA reviews the most terrifying cybersecurity breaches of the year. Watch Raj Bakhru and Marc Lotti discuss causes and impacts of major cyber-attacks in our Scariest Cyber Breaches of 2020 webcast, now available on demand

Article
  • Cybersecurity
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RiskMutation™ Strategic Roadmap: Integrating RegTech

RegTech can help firms navigate the future of risk and compliance in the age of RiskMutation™ by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.

Article
  • RegTech
  • RiskMutation
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FCA Announces 15-Month Transition Period for its Post-Brexit Handbook

The FCA recently provided updates about the impact of on-shoring EU legislation at the end of the Brexit transition period. We examine what this, the Temporary Transition Power, and changes to the FCA's handbook mean for firms.

Article
  • Compliance
  • FCA
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OCC Fines Bank $85M for Compliance and IT Risk Failures

On October 14, the Office of the Comptroller of the Currency (OCC) issued a news release indi

Compliance Alert
  • Bank Asset Management
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The Value of GIPS Compliance: 2020 OCIO Survey Results

ACA and Curcio Webb conducted an industry survey in August 2020 focusing on the value of GIPS compliance among OCIOs. The results show a growing interest in compliance with the 2020 GIPS standards.

Survey
  • Performance