Insights
Q4 2020 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020.
- Compliance
RegTech Quarterly Update: Q3 2020
Quarterly recap of regulatory news and ACA insights related to RegTech from this past quarter, as well as what's new and coming soon to ComplianceAlpha.
- RegTech
ACA celebrates 10 years in Europe
Ten years ago, ACA Compliance Group opened in the UK to expand our global presence and better serve our clients doing business in Europe. Learn more about the services and solutions we now bring to clients around the world from our European team.
- ACA News
Compliance Testing Action Plan (Downloadable Guide)
We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.
- Compliance
Revisiting Best Practices for Trade and Market Abuse Surveillance (Downloadable Checklist)
We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.
- RegTech
- COVID-19
- Trade Surveillance
RiskMutation™ Strategic Roadmap: Building Operational Resilience
Building operational resilience – the ability to manage growing operational risks effectively, efficiently, and promptly - can help firms navigate the future of risk and compliance in the age of RiskMutation™. Get our operational resilience strategic roadmap here.
- Cybersecurity
- RiskMutation
- BCP
ACA Aponix Launches New PortCo Defend Cybersecurity Program
The one-of-a-kind cybersecurity status dashboard helps private equity firms monitor threats and anticipate risks for companies within their portfolio.
- ACA News
Introducing the PortCo Defend™ Portfolio Risk Management Solution
We’re excited to announce ACA Aponix®'s Portfolio Company Risk Management and Monitoring solution, PortCo Defend™, a cybersecurity program and dashboard designed to help private equity firms assess and centrally monitor security threats and risks for their investment portfolio companies (PortCos).
- Cybersecurity
- Portfolio Company Risk Management
SEC No-Action Letter: ATS Role in the Settlement of Digital Asset Security
The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.
- Compliance
Increase Employee Compliance with ACA's Political Contributions Monitoring in ComplianceAlpha
This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.
- RegTech
- RiskMutation