Insights
FCA Market Watch 66 – Communications Recording Remains a Focus as Employees Continue to Work From Home
In its Market Watch 66, the FCA reminds firms around of their obligations to record telephone conversations and electronic communications - regardless of COVID-19 induced work environments. We examine considerations and requirements for firms.
- Compliance
- FCA
Hedge Fund Update: News You May Have Missed
In this edition of ACA's Hedge Fund Update, we discuss who the new SEC Chair may be, recent risk alerts, enforcement actions, and more.
- Compliance
Regulators Probe Firms’ Exposure Following SolarWinds Hack
Regulators have taken steps to probe companies’ levels of exposure to the SolarWinds hack. Learn what information and actions have been requested so far.
- Cybersecurity
SEC Adopts New Marketing Rule for Investment Advisers
The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).
- Compliance
- SEC Marketing Rule
Q1 2021 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.
- Compliance
Short-Selling: Potential Dual-Reporting Requirement for Dual-Listed UK/EU Shares
From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.
- Compliance
UK Announces Amendment to its Short Selling Reporting Regime
Following HM Treasury & ESMA announcements, the FCA has provided an update on the notification and reporting of short sales under its newly onshored regime. We examine the revised UK regime and explore if this is an early taste of post-Brexit accommodation.
- Compliance
California Privacy Rights Act FAQs
The California Privacy Rights Act of 2020 (CPRA) is a new data privacy law that substantially updates the existing California Consumer Privacy Act (CCPA) to bring California's privacy regulations in
- Cybersecurity
2020 Cybersecurity and Risk Year in Review
This year, as we responded to the pandemic, we continued to invest in enhancing our cybersecurity and privacy services to help our clients meet their firm's priorities efficiently and effectively as well as respond to the evolving cybersecurity landscape. Review a summary of 2020 cybersecurity news and insights and other resources and prepare for 2021.
- Cybersecurity
- RiskMutation
Update: Major SolarWinds Breach
Following our Cyber Alert earlier this week about the SolarWinds breach, many extraordinary steps have been taken by industry leaders to respond to what may be the most material global intrusion campaign of the past decade.
- Cybersecurity