Global Regulatory Outlook for Cybersecurity
Join our experts for a global update on key cybersecurity regulations, including SEC’s Regulation S-P amendments, EU’s DORA, AI Act, and more.
Webcast
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest regulatory compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
CFTC No-Action Letter: Temporary Fingerprint Card Relief for Principals and Associated Persons
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.
Compliance Alert
- Compliance
On-Demand Training: Core Compliance Disciplines in a Remote Working World
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.
Article
- Compliance
April 2020 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.
Newsletter
- Compliance
FinCEN Provides Relief and Guidance in Response to the COVID-19 Pandemic
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.
Compliance Alert
- Compliance
How to Identify and Avoid COVID-19-Related Fraud
It is inspiring to see, hear, and read each day about the many acts of charity, kindness, sacrifice, thoughtfulness, and support that have come out of the COVID-19 pandemic. However, there are also fraudsters, scammers, bad actors, and criminals looking for opportunities to take advantage of the vulnerable and profit from illegal activities.
Article
- Compliance
CRD Now Accepting Form CRS
The SEC released updated Form CRS FAQs on April 6,2020. Although the filing date is June 30, 2020, firms should start drafting their forms for filing as soon as possible.
Compliance Alert
- Compliance
Events
2025 ACA Conference
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.
Conference