Insights
FINRA's Pandemic-Related Business Continuity Planning, Guidance, and Regulatory Relief
FINRA recently issued a regulatory notice reminding firms that they should review their pandemic-related business continuity planning. This review should include assessing whether their business continuity plans (“BCPs”) are flexible enough to address the impact of potential pandemic-related situations to their businesses.
- Compliance
New "Coronavirus" Malware Targets Windows Users
Researchers have discovered multiple computer viruses and destructive software (malware) that use coronavirus and COVID-19 themes. These malware programs can be significantly damaging to systems and the data they maintain.
- Cybersecurity
Security Risks with Zoom and Other Teleconferencing Tools
Security issues with video and audio conferencing tools, particularly Zoom, have increased during the pandemic. Learn what steps firms and individuals should take to protect themselves from this risk.
- Cybersecurity
Tips to Enhance Electronic Communication Surveillance
With reduced face-to-face interactions, employees are increasingly turning to electronic devices and platforms to communicate with their co-workers and clients. Increased electronic communication traffic can result in additional risks. Regulators, although providing relief in certain areas, still expect the compliance role to function effectively to mitigate these risks.
- Compliance
SFC issues guidance to fund industry participants related to the COVID-19 outbreak
Responding to volatility in local and international markets following the COVID-19 outbreak, the Hong Kong Securities & Futures Commission (SFC) has issued four reminders to fund industry participants and intermediaries of their obligations. We examine what this means for firms.
- Compliance
Participate in our 2020 NSCP / ACA Cybersecurity Compliance Programs Survey
We invite you to participate in the 2020 NSCP / ACA Cybersecurity Programs Survey and learn what your peers are doing to build strong regulatory compliance programs. Participate in our survey for investment advisers and broker dealers.
- Cybersecurity
Q2 2020 Regulatory Reporting Deadlines
ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings.
- Compliance
The 2020 GIPS Standards: Explanation of the Provisions for Firms – Sections 1 and 3
Recognizing the need for additional guidance for firms to comply with the 2020 GIPS standards, CFA Institute has committed to releasing the revised GIPS Handbook, now called Explanation of the Provisions, as they are completed.
- Performance
Regulatory Horizon 2020 | Key Takeaways
We recently brought together professionals from the global investment management community to speak at our conference, Regulatory Horizon 2020 | The Challenges Ahead. Find out the key compliance, technology, and cyber takeaways from the event.
- Compliance
SEC Relief for Registered Investment Companies
The unprecedented coronavirus (COVID-19) pandemic has created many hardships that could make it difficult for registered investment companies (“funds”) to meet certain regulatory requirements.
- Compliance