ACA Spotlight Blog

ACA Spotlight Blog

Risk and compliance alerts, insights, and resources for financial services firms
 

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See a compilation of ACA's COVID-19-related news, insights, and resources for financial services firms here.

ACA's experienced compliance, risk, performance, cybersecurity, and technology professionals regularly provide insights on industry news, trends, and best practices. Our blog consolidates all ACA compliance alerts, thought leadership articles, white papers, cybersecurity alerts, and results from ACA surveys to help you find the information you need more quickly and easily.

OCC Fines Bank $85M for Compliance and IT Risk Failures
Compliance Alert - OCC
October 28, 2020

On October 14, the Office of the Comptroller of the Currency (OCC) issued a news release indicating its assessment of an $85M fine against a federal savings bank.

Union Jack with EU Flag outside Houses of Commons
Thought Leadership
October 28, 2020

The FCA recently provided updates about the impact of on-shoring EU legislation at the end of the Brexit transition period. We examine what this, the Temporary Transition Power, and changes to the FCA's handbook mean for firms.

abstract dots and lines
Thought Leadership
October 28, 2020

RegTech can help firms transform risk and compliance functions while delivering cost savings, both critical components to successfully navigating RiskMutation.

2020 OCIO GIPS Compliance Survey
Survey
October 28, 2020

ACA and Curcio Webb conducted an industry survey in August 2020 focusing on the value of GIPS compliance among OCIOs. The results show a growing interest in compliance with the 2020 GIPS standards.

Upwards view of tall corporate buildings
Compliance Alert
October 26, 2020

The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.

Q4 2020 Regulatory Reporting Deadlines
Compliance Alert
October 23, 2020

Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020. 

ComplianceAlpha on mobile device and laptop
Product Update
October 23, 2020

Quarterly recap of regulatory news and ACA insights related to RegTech from this past quarter, as well as what's new and coming soon to ComplianceAlpha.

OCC Supervision Priorities and Objectives for 2021
Compliance Alert - OCC
October 23, 2020

The OCC's Committee on Bank Supervision recently released the agency’s supervision priorities and objectives for fiscal year 2021. We summarized what trust companies' and bank asset managers' should ensure are adequately covered by risk, compliance, and internal audit.

fireside chat
Thought Leadership
October 23, 2020

We were delighted to host Phil Venables, Board Director and Senior Advisor (Risk and Cybersecurity) for Goldman Sachs at our first-ever Cyber Week.  This fireside chat with Mike Pappacena, Partner, ACA Aponix is now available to watch on-demand.

abstract data chart purple and blue
Thought Leadership
October 22, 2020

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

Compliance Testing Action Plan
Thought Leadership
October 22, 2020

We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.

Thought Leadership
October 22, 2020

Ten-years ago, ACA Compliance Group opened in the UK to expand our global presence and better serve our clients doing business in Europe. Learn more about the services and solutions we now bring to clients around the world from our European team