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Critical Vulnerability Identified in Windows Servers

The U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) has issued an alert identifying a critical vulnerability affecting all versions of Microsoft® Windows Server® configured with the Domain Name System (DNS) role enabled. The vulnerability could potentially allow a remote attacker to gain control of affected systems.

Cyber Alert
  • Cybersecurity
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New Focus on Senior Manager Responsibility for Regulatory Reporting

Regulators are placing increasing importance on senior managers taking personal responsibility and accountability for regulatory reporting under SM&CR. We examine what this means for firms in scope of the MiFIR, EMIR or SFTR reporting regime.

Compliance Alert
  • Trade & Transaction
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European Union Court Strikes Down Key EU-U.S. Data Sharing Agreement

The Court of Justice of the European Union (CJEU) has determined that the Privacy Shield agreement, a key data sharing agreement that allows signatory U.S. companies to transfer EU resident personal data to the U.S., is no longer valid. Learn what action you may need to take due to this change.

Cyber Alert
  • Cybersecurity
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CCPA Enforcement leads to Multiple Class-Action Lawsuits

The California Consumer Privacy Act (CCPA) went into effect on 1/1/20 and enforcement began on 7/1/20. There has already been considerable activity on the class action front, much of it even before the enforcement date. Review what you need to do to avoid CCPA penalties.

Article
  • Cybersecurity
  • Privacy
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2020 Investment Management Compliance Testing Survey Results: BCP Related to COVID-19 Now Top Compliance Concern

From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.

Survey
  • Compliance
  • BCP
  • COVID-19
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ACA Compliance Group Secures $40 Million from Consortium of Existing Investors Led by Starr Investment Holdings

Governance, Risk, and Compliance Leader to Scale New Product Development and Drive Continued Focus on Customer Success

News
  • ACA News
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OCIE Risk Alert Warns of Increase in Ransomware Attacks

The SEC OCIE has issued a Risk Alert warning of an increase in the sophistication of ransomware attacks against SEC registrants with attackers using advanced phishing and other social engineering tactics to penetrate financial institution networks and install malware that limits company access to data until a ransom is paid.

Cyber Alert
  • Cybersecurity
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Q3 2020 Regulatory Reporting Deadlines

ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.

Compliance Alert
  • Compliance
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Summary of FINRA Regulatory Actions in Q1 2020

The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000‬‬ in the first quarter of 2

Compliance Alert
  • Compliance
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COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?

Download our surveillance gap assessment checklist to see how your program measures up.

Article
  • RegTech
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing