Insights
ACA’s Top 10 Blog Posts of 2020 So Far
As summer winds down and we gear up for a busy fall we thought we’d take a moment to look back at the most popular ACA articles so far this year.
- Compliance
FCA Reminds Firms of their New Conduct Rules Reporting Obligations under SM&CR
The FCA recently added a webpage reminding solo-regulated firms of their obligation to report breaches of its conduct rules (and ensuing disciplinary action) as required under the Senior Managers and Certification Regime (SM&CR).
- Compliance
Public, Private or ‘Private Private’: Do you have the right information barriers?
Throughout the lockdown, the FCA and SEC have voiced thier expectation that private information is handled appropriately and that firms maintain adequate and appropriate information barriers. Firms should revisit what is considered “private” information and how that can get a little grey and nuanced in the private markets sector.
- Compliance
ACA Appoints Ron Weekes as CEO of Mirabella
ACA Compliance Group (ACA), a leading provider of governance, risk, and compliance advisory services and technology solutions, announced today that Ron Weekes has been appointed as CEO of Mirabella, ACA’s regulatory hosting platform.
- ACA News
ACA Compliance Group Launches ComplianceAlpha® App for Mobile Devices
ACA's ComplianceAlpha app for mobile devices provides financial services firms with an easier, more accessible compliance experience for today’s increasingly distributed work environment.
- ACA News
ACA's ComplianceAlpha Mobile App is Here - Watch the Video Now
We’re excited to launch the mobile version of ACA's ComplianceAlpha risk and compliance management platform to help make compliance easier and more accessible for your firm.
- RegTech
New Guidance for Characterizing Certain Broker-Dealers Under the SEC’s Customer Protection Rule
The SEC and FINRA issued updated guidance on the characterization of U.S. broker-dealers under the Customer Protection Rule. This new guidance states that Non-Covered Firms that solely engage in Non-Covered Firm activities are no longer subject to any Rule 15c3-3 requirements.
- Compliance
FINRA Warns of Fake Agency Website
FINRA issued an alert regarding the appearance of a fake website purporting to be from the authority. The fake website uses the domain “finnra.org” in which the letter “n” appears twice.
- Cybersecurity
- Phishing
SEC OCIE Issues Risk Alert on COVID-19-Related Compliance Risks and Issues
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.
- Compliance
- BCP
- COVID-19
Highlights from the 2020 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey
Benchmarking your firm’s cybersecurity program against those of your peers is a smart way to identify the compliance gaps your firm should address. Here are the results of the 2020 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey.
- Cybersecurity