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Case Study: Holistic Risk Assessment for Lynx FBO Aviation

Read how Lynx FBO Network (Lynx) in the general aviation industry worked with ACA Aponix to execute a Holistic Technology and Cybersecurity Risk Assessment.

Case Study
  • Cybersecurity
  • Portfolio Company Risk Management
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FCA Business Plan 2020/21: Navigating the COVID-19 Crisis Amidst Longer Term Priorities

The FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms.

Compliance Alert
  • Compliance
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GoDaddy Breach Discovered

Web hosting giant GoDaddy® has suffered a breach affecting thousands of users, per reports of security researchers. The data breach occurred in October 2019, but was first discovered on April 23rd of this year.

Cyber Alert
  • Cybersecurity
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CTA Promotional Material Relief for Eligible Contract Participants and Proposed Updates to Form CPO-PQR

The NFA provided relief to CTAs that are also registered with the SEC to present past performance to ECPs on a gross basis in non-public, one-on-one presentations. The CFTC also proposed changes to the Form CPO-PQR revising the scope of information collected.

Compliance Alert
  • Compliance
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CFTC No-Action Letter: Temporary Fingerprint Card Relief for Principals and Associated Persons

Due to the ongoing COVID-19 pandemic, the National Futures Association has suspended its applicant fingerprinting service for its registrants and their principals and associated persons. The social distancing requirements have made it difficult to comply with the requirements set forth in CFTC Regulation 3.10 and 3.12.

Compliance Alert
  • Compliance
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On-Demand Training: Core Compliance Disciplines in a Remote Working World

In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must be flexible to adapt to fresh challenges while maintaining business disciplines, systems and controls. This complimentary training webcast is designed to help ensure that staff, regardless of their role, do not forget their core compliance responsibilities during this period.

  • Compliance
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Code of Ethics Concerns and Best Practices in Times of Market Volatility

With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.

  • RegTech
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing
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SEC Fines U.S. Private Fund Manager $1 Million for Misrepresentation of Investment Performance and Marketing Violations

A recently settled enforcement action re-emphasizes the importance of issues highlighted in the SEC's 2017 Risk Alert related to Rule 206(4)-1 under the Advertising Rule.

Compliance Alert
  • Performance
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April 2020 Broker-Dealer Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

  • Compliance
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FinCEN Provides Relief and Guidance in Response to the COVID-19 Pandemic

On April 3, 2020, FinCEN finally issued relief to financial institutions experiencing challenges meeting certain compliance requirements during the COVID-19 pandemic. FinCEN and banking regulators like the OCC recognize there may be reasonable delays in complying with timing requirements for certain Bank Secrecy Act report filings.

Compliance Alert
  • Compliance