Insights
Preparing to Comply with the SEC’s New Marketing Rule
The SEC's New Marketing Rule compliance deadline is November 4, 2022 - closer than you think. In this article, we outline our implementation action plan.
- Compliance
- Performance
U.S. Senate Passes Act Requiring Faster Reporting of Cyber Incidents
New cybersecurity legislation may be coming for critical infrastructure companies, as the United States Senate passed the Strengthening American Cybersecurity Act on March 1st, 2022.
- Cybersecurity
- Cybersecurity Resources
Annie Morris Joins ACA Group as Chief Product Officer
Annie Morris has joined the ACA as Chief Product Officer (CPO) to lead ACA’s integrated product strategy and vision.
- ACA News
Continued Developments in International Measures Against Russia
We explore how the continued regulatory developments from Western governments relating to Russia’s actions towards Ukraine affect financial firms.
- Cybersecurity
- Cybersecurity Resources
- AML and Financial Crime
- Compliance
SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms
The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.
- Compliance
- eComms Surveillance
- RegTech
Guidance on Impersonated Registered Domain Names
A summary of what to look for in a threatening domain and how to mitigate a substantiated threat
- Cybersecurity
- Cybersecurity Resources
NSCP Firm and CCO Liability Framework Can Ease CCOs’ Liability Concerns
The NSCP Framework is a practical approach to CCO liability that promotes investor protection and market integrity, addressing compliance professionals' fears of being held personally liable in unreasonable situations.
- Compliance
ACA Celebrates Black History Month by Discussing Gaps in Health and Wellness
In honor of Black History Month, ACA's Connected Black Professionals Group hosted a number of speakers to discuss bridging the gap in health and wellness with ACA employees.
- ACA News
SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
On February 10, 2022, the SEC voted to propose amendments regarding beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed rules would accelerate the filings deadline of Schedule 13D and 13G filings.
- Compliance
FCA Reminds Firms of their Financial Sanctions Obligations in the Light of New UK Measures Against Russia
The FCA has reminded firms of their financial sanctions obligations in the light of new UK measures against Russia. We outline key reminders and requirements for regulated firms to observe.
- Compliance