news archive


October 28, 2020 | Thought Leadership

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

October 28, 2020 | Compliance Alert - OCC

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. The action was based on the bank’s failure to implement and maintain an effective compliance program, as well as its failure to implement an effective IT risk management program.

October 28, 2020 | Survey

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.

October 28, 2020 | Thought Leadership

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.

October 26, 2020 | Compliance Alert

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.

October 23, 2020 | Thought Leadership

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.

October 23, 2020 | Compliance Alert - OCC

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.

October 23, 2020 | Product Update

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.

October 23, 2020 | Compliance Alert

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

Filing Name


October 22, 2020 | Thought Leadership

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

October 22, 2020 | Thought Leadership

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.

October 22, 2020 | Thought Leadership

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.

October 21, 2020 | Thought Leadership

The ability to manage growing operational risks effectively, efficiently, and promptly determines a firm’s level of operational resilience and can help them manage RiskMutation™.

October 20, 2020 | White Paper

In the current real estate investment environment, many firms want to understand the core components of the GIPS standards before committing the resources needed to attain compliance. Firms that already claim compliance seek to mitigate the risk of becoming noncompliant. This paper provides useful information for both objectives.

October 19, 2020 | Product Update

We’re excited to announce ACA Aponix®'s Portfolio Company Risk Management and Monitoring solution, PortCo Defend™, a cybersecurity program and dashboard designed to help private equity firms assess and centrally monitor security threats and risks for their investment portfolio companies (PortCos).

October 19, 2020 | Press Release

The one-of-a-kind cybersecurity status dashboard helps private equity firms monitor threats and anticipate risks for companies within their portfolio.

October 16, 2020 | Compliance Alert - SEC

The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.

October 15, 2020 | Product Update

This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.

October 15, 2020 | Compliance Alert - OCC

The Office of the Comptroller of the Currency recently assessed a $60 million civil money penalty for a bank's failure to exercise proper oversight of the 2016 decommissioning of two U.S. wealth management business data centers.

October 14, 2020 | Compliance Alert

The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.

October 14, 2020 | Thought Leadership

Risk and compliance officers today are faced with an unprecedented level of complexity and change. Increasing compliance risks are combining with the evolving challenges of the COVID-19 pandemic – a phenomenon ACA calls RiskMutation™ – in a way that is creating new risks but also new opportunities. 

October 13, 2020 | Press Release

Available now, ACA’s full-service offering provides firms globally with a dedicated solution for meeting their requirements under various Know Your Customer (KYC) and Customer Identification Program (CIP) regulations. The solution combines ACA’s regulatory technology (RegTech) and managed services to provide firms with faster, more accurate data screening, ongoing monitoring, remediation, and reporting while increasing overall operational efficiencies and cost savings.

October 13, 2020 | Product Update

The solution combines ACA’s regulatory technology (RegTech) and managed services to provide our clients with a full-service, cost-effective offering for meeting their requirements under various KYC and CIP regulations in the U.S., Europe, and Cayman Islands.

October 12, 2020 | Thought Leadership

Cyber threats are constantly evolving and hackers are always looking for new methods to attack -  stay on top of new threats and address them as quickly as possible by subscribing to our free cyber alerts.

October 12, 2020 | Compliance Alert - CFTC

On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Final Rule) amending Form CPO-PQR and CFTC Regulation 4.27 for registered commodity pool operators (CPOs).

The Final Rule revises the scope of the information collected on Form CPO-PQR (the Revised Form CPO-PQR). Specifically, the amendments...