Insights
The Impact of the 5th Money Laundering Directive
The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.
- Compliance
Cloudhopper Cloud Provider Breach Reported: Action Needed by January 10
Learn more about the Cloudhopper cloud managed service provider breach and determine what actions your firm may need to take by January 10.
- Cybersecurity
2019 Alternative Fund Manager Compliance Survey Results
Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.
- Compliance
The Year in Cybersecurity and Risk
Recap of our 2019 product updates, insights, webcasts, and other resources for ACA Aponix cybersecurity and privacy services.
- Cybersecurity
ACA's Top 10 Webcasts of 2019
As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.
- Events
December 2019 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.
- Compliance
The Year in Regulatory Technology for Financial Services Firms
Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.
- RegTech
2020 Regulatory Reporting Deadlines Calendar
Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
- Compliance
California Attorney General Signals Approach to Upcoming CCPA Enforcement
In a December 10 interview, California Attorney General (AG) Xavier Becerra provided insight into planned enforcement for the upcoming implementation of the California Consumer Privacy Act (CCPA). Per the interview, the effort firms take to comply will affect the severity the AG takes in enforcement.
- Cybersecurity
- Privacy
Year-End Recap and CCO Compliance Checklist
A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.
- Compliance