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Regulatory Changes with Compliance Implications for Exchange-Traded Funds

Several new regulatory requirements and developments should be evaluated by certain ETF sponsors and advisers regarding changes to the stock-exchange listing standards and Regulation M. This article summarizes these developments and their potential compliance program implications.

Compliance Alert
  • Compliance

Transaction reporting: The beginning of the end or the end of the beginning?

Numerous firms who have undertaken complex, expensive and burdensome projects to build their reporting frameworks have mistaken the light at the end of the implementation tunnel as the end of the MiFID II challenge. Some firms are looking the wrong way down the tunnel, and others might well be watching the FCA enforcement train leaving the station.

Compliance Alert
  • Compliance
  • Trade & Transaction

ACA Aponix Launches Cost-Effective Cybersecurity Diligence Service for PE Investment Teams

ACA's pre-deal IT, cybersecurity, and privacy regulatory diligence helps firms determine cybersecurity risks at the onset, negotiate better deals, align risks with the investment thesis, and reduce cyber insurance costs.

Press Release
  • Cybersecurity

ACA Aponix Launches Cost-Effective Cybersecurity Diligence Service for PE Investment Teams

Cyber incidents at portfolio companies can drastically diminish their investment value. To help PE investment teams mitigate cyber risks, we're excited to announce our cost-effective cybersecurity diligence service.

Press Release
  • Cybersecurity

Cyber Alert: Critical Vulnerability Discovered in Internet Explorer

On April 10, researchers published information on a critical vulnerability in Microsoft’s Internet Explorer® (IE) browser.

Cyber Alert
  • Cybersecurity

SEC Warns of Data Privacy Compliance Issues

On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.

Compliance Alert
  • Compliance

Highlights of Michael Held's Speech at the 1LoD Summit

Michael Held, Executive Vice President of the Legal Group at the Federal Reserve Bank of New York, spoke at the 1LoD Summit in New York on April 2, 2019.

Compliance Alert
  • AML and Financial Crime

What Boards Need to Know About the SEC’s New Cybersecurity Request List

Cybersecurity oversight continues to challenge boards and now the SEC has updated their request list for cyber exams. This updated list combined with previously articulated SEC expectations, provides some directional help for boards as they navigate cybersecurity issues. In this blog, ACA's Jim Pappas shares what boards need to know.

Article
  • Compliance

Cyber Alert: Vulnerabilities Discovered in VPN Applications

On April 11, researchers from the Carnegie Mellon Software Institute announced security vulnerabilities in multiple virtual private network (VPN) applications.

Cyber Alert
  • Cybersecurity

Nine Reasons Why AML Transaction Monitoring Analytics are Essential

When it comes to anti-money laundering (AML) transaction monitoring, financial services firms are under more pressure than ever to prove that the approach they are taking is working. Regulators want to see obvious evidence that firms are generating the right level of suspicious activity reports (SARs) for their size, geography, and business types, usually in the form of statistics and reporting.

Article
  • AML and Financial Crime