COVID-19 resources

 

ACA is closely monitoring the coronavirus (COVID-19) pandemic and how it is affecting our clients and the financial services industry. We will continue to provide regulatory updates, resources, and best practices to help your firm navigate this uncertain time.

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Now offering: Free web-based cybersecurity awareness training


Right now, many are focused on health, family, friends, colleagues, and clients. Unfortunately, cybersecurity risks still exist and nefarious actors are seizing this opportunity to attack, as our focus is elsewhere. There are numerous COVID-19 scams and threats already underway and we expect this to increase.

To help you protect yourself and your firm during this challenging time, ACA is providing our web-based training course to individuals and up to 100 licenses to firms free of charge until June 30, 2020. Our course provides financial services and other businesses of all sizes with an effective and comprehensive review of cybersecurity risks that to help protect against cyber threats. It is designed to ensure your staff gain a broad understanding of their role in protecting your firm no matter where their office location may be. 

Register

We are here to support you


We offer a range of services designed to help firms address and mitigate the new and emerging risks resulting from the COVID-19 pandemic in order to maintain business operations and withstand the crisis. Please reach out if your firm needs support.

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Resources


May 27, 2020
Cyber Alert
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.
May 21, 2020
Thought Leadership
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.
May 20, 2020
Compliance Alert
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.
May 14, 2020
Thought Leadership
In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.
May 5, 2020
Compliance Alert - FCA
The FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms. 
April 30, 2020
Compliance Alert - CFTC
Due to the ongoing COVID-19 pandemic, the National Futures Association has suspended its applicant fingerprinting service for its registrants and their principals and associated persons. The social distancing requirements have made it difficult to comply with the requirements set forth in CFTC Regulation 3.10 and 3.12.
April 29, 2020
Webcast
Join us Thursday, April 30 at 11am ET as Carlo di Florio, Global Chief Services Officer, Jack Rader, Partner, and Leigh Emery, Senior Principal Consultant discuss what it means to operate the compliance function in the age of COVID-19 and beyond.
April 29, 2020
Thought Leadership
In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must be flexible to adapt to fresh challenges while maintaining business disciplines, systems and controls. This complimentary training webcast is designed to help ensure that staff, regardless of their role, do not forget their core compliance responsibilities during this period.
April 27, 2020
Thought Leadership
With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.
April 27, 2020
Webcast
Curious how you will measure up to your peers as we approach the "Next Normal" coming out of the COVID-19 social distancing restrictions? ACA has been actively talking to clients about what the "Next Normal for Compliance" will look like for compliance teams.
April 24, 2020
Cyber Alert
Learn how to protect yourself from the "zero-click” vulnerability discovered on Apple® iPhones® and iPads®  that enables bad actors to hack into devices by sending specially crafted email.
April 24, 2020
Compliance Alert - FinCEN
On April 3, 2020, FinCEN finally issued relief to financial institutions experiencing challenges meeting certain compliance requirements during the COVID-19 pandemic. FinCEN and banking regulators like the OCC recognize there may be reasonable delays in complying with timing requirements for certain Bank Secrecy Act report filings.