Insights
FCA Market Watch 63 Reminds Firms of Market Abuse and Reporting Requirements During the COVID-19 Crisis
The FCA’s recently published Market Watch 63 reminds firms that they must continue to comply with their obligations around market conduct and reporting during the COVID-19 crisis. It highlights some changes to market activities and alternative working arrangements which represent a higher risk. We examine how firms should respond to the regulator's concerns.
- Compliance
- COVID-19
- Trade Surveillance
Whistleblowing and Why it Matters During Lockdown
Whistleblowing is seeing the highest level of activity since 2015, with employees ready to take their concerns straight to the competent authorities if not satisfied by internal remediation. We examine the importance of whistleblowing in a robust compliance framework and why it matters during lockdown
- Compliance
2020 Liquidity Risk Management Program Rule Survey
By participating in this survey, you can help us identify trends in how firms are complying with the rule and accounting for market closures and market volatility. Results will be presented later this summer so you can implement some of the most common practices at your firm.
- Compliance
Taking Control of Vendor Risk: A 6-Step Approach
Learn how ACA's 6-step approach can help you stay on top of the vendors your company uses and ensure that their cyber and technology risks are accounted for and managed.
- Cybersecurity
New Malware Attack Detected with Fake Pandemic Info from Johns Hopkins
Microsoft Security Intelligence has issued a security warning for a massive malware attack from emails about COVID-19 purportedly from Johns Hopkins Center. Learn more about this attack and how to defend your systems.
- Cybersecurity
Privacy Considerations on Returning to the Office
Read our guidelines for best privacy practices in implementing contact tracing and symptom tracking of employees as stay-at-home restrictions begin to ease and employees who have been working from home return to the office.
- Cybersecurity
- Privacy
The 2020 GIPS Standards: Explanation of the Provisions for Firms – Section 2
Section 2 of the Explanation of the Provisions focuses on clarifying the input data and calculation methodology requirements to be compliant with the 2020 GIPS standards.
- Performance
Alliant and ACA Aponix Launch New Cybersecurity Offering, PortCo Protect
Alliant Insurance Services and ACA Aponix announced today the launch of a new cybersecurity risk mitigation and transfer solution offering, PortCo Protect, tailored to the needs of private equity managers and their portfolio companies.
- ACA News
The Regulatory Initiatives Grid and Implementing Regulatory Change in the UK
The Financial Services Regulatory Initiatives Forum (‘FSRIF’ or the ‘Forum’) recently published its Regulatory Initiatives Grid to help the financial services industry understand, and plan for regulatory change as a result of COVID-19. We examine the impact and areas of focus.
- Compliance
SEC Examination Requests Related to COVID-19 Business Continuity and Operational Resilience
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced in March that it intends to engage in an ongoing outreach with registrants to assess the impacts of COVID-19, including challenges impacting operational resiliency. In the last few weeks, ACA has seen an increase in the number of examinations announced by the SEC examination staff.
- Compliance
- BCP
- COVID-19
- Cybersecurity