Insights
A Spotlight on the United Nations Climate Change conference, COP26
This year, heads of state, climate experts and campaigners will meet at the 26th United Nations Climate Change conference (COP26) to agree coordinated action to tackle climate change, but which developments are likely to be most important from the perspective of the financial services industry? And what does all this mean for firms in the future?
- ESG
- Compliance
Critical Security Flaw Discovered in Fortinet Security Products Require Upgrade
Remote attackers can exploit a flaw in Fortinet to gain unauthorized access to devices, and then exfiltrate data or perform other criminal activities from within the breached network.
- Cybersecurity
Post-Brexit FAQs - FCA Authorisation and Compliance for EEA Firms in the TPR
The FCA is now offering firms that signed up to the Temporary Permissions Regime a “landing slot” to apply for full authorisation. Firms that miss their slot risk losing their temporary permissions completely. Read our FAQ's to learn more about your requirements.
- Brexit
- FCA
- Compliance
The Department of Homeland Security Requires Pipeline Operators to Set Cybersecurity Safeguards
The U.S. TSA and DHS have issued a directive to operators of fuel and gas pipelines that requires them to improve their cybersecurity defenses.
- Cybersecurity
- Portfolio Company Risk Management
Q3 2021 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and ESMA occurring from July through September 2021
- Compliance
- Regulatory Deadlines
- RegTech
ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards
Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.
- RegTech
- Trade & Transaction
- ACA News
Protecting Your Business as Offices Reopen: A Seven Step Cybersecurity Action Plan for Physical and Hybrid Work Environments
ACA Aponix’s cybersecurity experts have developed the following action plan to help your firm review, revise, and implement a strong cyber program that will help protect your firm against reputational and financial damage as well as meet regulatory obligations, no matter what type of work model you’re employing.
- Cybersecurity
- Cybersecurity Resources
EU Cross Border Fund Distribution Directive and Regulation - Raises More Questions than it Answers?
Marketing rules have traditionally taken a jurisdictional rather than EU wide harmonious approach. With new cross border distribution rules coming into play on 2 August 2021, we examine the impact on AIFs and UCITS funds.
- Compliance
- ComplianceAlpha
- Brexit
SEC to Investment Advisers: Cybersecurity Must Be a Comprehensive, Continually Evolving Program
This was the topic of discussion between the SEC’s Keith Cassidy, Head of the SEC’s Technology and Controls Program, and ACA Aponix® partner Mike Pappacena, during ACA’s spring conference. They discussed why the threat of a cyber-attack is so acute for investment advisers, how they can best protect themselves and their clients, and what the SEC expects from investment advisers’ cyber programs. Here are some highlights from their conversation.
- Cybersecurity
ACA Group Hires New Chief Commercial Officer Aimee Egan
ACA Group (ACA) today announced that Aimee Egan has joined the firm to lead all go-to-market functions (including Sales & Marketing) in a newly created role of Chief Commercial Officer. Aimee will join ACA’s executive leadership team and will oversee the execution of ACA’s growth plan.
- ACA News