
Insights

Division of Examinations’ 2021 Exam Priorities for Registered Investment Companies
The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.
- Compliance
- SEC

SEC Announces 2021 Examination Priorities
On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.
- Compliance
- SEC

FINRA Warns of Fake Emails
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of supports @finra-online.com is being used.
- Cybersecurity

We Are Now ACA Group
This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.
- ACA News

NFA Warns of Fake Emails
The NFA issued a notice to members warning of reported phishing attempts using fake NFA credentials. The phishing campaign includes emails using a fake domain that mimics the NFA’s domain name.
- Cybersecurity

Microsoft® Exchange® Servers Suffer Multiple “Zero-Day” Attacks
Microsoft has reported that it has suffered four “zero-day” attacks targeting its on-premises email and calendaring Exchange Server products. The reported vulnerabilities apply to on-premises versions of Microsoft Exchange Server. Learn what steps to take to protect your firm.
- Cybersecurity

Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
- Compliance
- Mirabella
- Cybersecurity

Gas Pipeline Suffers Ransomware Attack
On February 18, the U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) issued an alert detailing a ransomware attack suffered by a natural gas compression facility. The ransomware attack led to a two-day controlled shutdown of operations, causing significant loss of productivity and revenue.
- Cybersecurity
- Portfolio Company Risk Management

Virginia Senate Passes Consumer Data Protection Act
The Virginia Senate has unanimously passed the Virginia Consumer Data Protection Act (VCDPA) and once approved by the governor, the law is set to go into effect on January 1, 2023. This data privacy law would grant privacy rights and consumer protection to Virginia residents. Learn how to prepare for these new protections.
- Cybersecurity
- Privacy

Celebrating Black History Month at ACA
To celebrate Black History Month, ACA is proud to announce that we have formally launched the “Connected Black Professionals” affinity group (CBP).
- ACA News