Insights
Key Trends and Forces Shaping Risk and Compliance Management in 2021: Report
ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.
- Compliance
- RiskMutation
- RegTech
- Cybersecurity
ACA Launches Global ESG Advisory Practice to Support Clients
ESG industry veteran, Dan Mistler, hired as partner to head up ACA's new practice that provides firms with a dedicated governance, risk, and compliance advisory service to address their environmental, social and governance regulatory compliance, cyber and performance challenges
- ACA News
Mimecast E-Mail Security Service Hacked
Mimecast® e-mail security company has reported a breach that affects 10% of users in which hackers may be able to access company email and other data as well as infiltrate company networks. Learn how to protect yourself from this breach.
- Cybersecurity
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