Insights
2020 RegTech News, Insights, and ComplianceAlpha® Updates You May Have Missed
Firms are turning to technology at a record rate thanks in large part to the pandemic, and regulators worldwide continue to prioritize technology innovation and data. We've curated a roundup of notable alerts and insights from ACA's experts as well as ComplianceAlpha enhancements to help you catch up and prepare for a successful 2021.
- RegTech
- RiskMutation
Essential Guide to AIFMD Marketing After Brexit
Following the end of the Brexit transition period, AIFMs wishing to market their funds should re-evaluate the AIFMD marketing notification requirements.
- Compliance
Registered Investment Company 2020 Regulatory Recap
During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.
- Compliance
Major SolarWinds Breach Affects Government and Businesses Worldwide
A major breach has compromised confidential data at several U.S. government agencies, including the Treasury Department and the Department of Commerce exposing information from the executive branch, the military, and intelligence services. It has likewise compromised leading telecommunications firms, technology firms, and international governments.
- Cybersecurity
Operating in the UK Post-Brexit - A Guide for EEA Firms
The Brexit transition means in excess of 1,500 global firms need to adapt their business models and regulatory registration arrangements to continue operating within the UK. We outline details of the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.
- Compliance
- Brexit
2021 Broker-Dealer Regulatory Filings Calendar
To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.
- Compliance
Brexit: The Final Countdown - A Checklist for UK Investment Managers
With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.
- Compliance
- Brexit
Helping Private Equity Firms Stay Ahead of Risk
On October 6, 2020, ACA Aponix held a panel discussion about portfolio company risk management at our Cyber Week Virtual Conference. The session featured panelists from leading Private Equity (PE) firms who have worked with ACA to deploy strategic portfolio company risk management programs and included participants from over 200 firms.
- Cybersecurity
Vulnerability Reported in Microsoft Teams
A critical vulnerability affecting Microsoft® Teams® has been reported involving attackers sending a specially crafted chat message to Teams users. Once viewed, the message captures the recipient’s sign-on information and enables remote code execution on the user’s machine.
- Cybersecurity
ACA Aponix Named Due Diligence Firm of the Year at the 12th Annual International M&A Awards
ACA is proud to announce that ACA Aponix was named the Due Diligence Firm of the year at the 12th Annual International M&A Awards. The awards were announced at a Virtual Awards Gala celebration on Thursday, January 21st, 2021.
- ACA News
- Portfolio Company Risk Management