News & Analysis

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October 10, 2017 | Press Release

ACA Compliance Group (“ACA”) is pleased to announce that Askari J. Foy has joined the firm as a Managing Director overseeing ACA Aponix’s Global Regulatory Cybersecurity practice.

October 9, 2017 | Cyber Alert
7 Ways You Can Secure Your Network Endpoints

This month, ACA Aponix is participating in the Department of Homeland Security's Stop.Think.Connect Campaign for National Cyber Security Awareness Month (NSCAM). Each week in October, we will provide best practices and guidance on the ways you can protect your business from cyber threats.

This week's topic is 7 Ways You Can Secure Your Network Endpoints.

October 6, 2017 | Article

The following article was featured in the September 2017 edition of Financier Worldwide. It was written by ACA's Jami Jack and Ken Harman.

It is hardly surprising that European technology investment has grown tremendously over the past few years, given the fresh wave of innovative start-ups coming on the scene each month. As a consequence, Europe is now home to a host of mature yet fast-growing technology businesses, such as Auto1, blablacar, Klarna, iZettle and SumUp. 

October 3, 2017 | Compliance Alert

On July 7, 2017 the Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority (“FINRA”) proposed rule changes to adopt consolidated registration rules. The new rules restructure the representative-level qualification examination program, allow permissive registration, establish an exam waiver process for persons working for a financial services affiliate of member, and amend the continuing education requirements. Although approved, FINRA has not established an effective date for these new rules. 

October 2, 2017 | Cyber Alert
Cyber Threats on the Rise: How to Protect Your Business and Yourself from Becoming a Statistic

This month, ACA Aponix is participating in the Department of Homeland Security's Stop.Think.Connect Campaign for National Cyber Security Awareness Month (NSCAM). Each week in October, we will provide best practices and guidance on the ways you can protect your business from cyber threats.

October 2, 2017 | Compliance Alert

The MiFID II deadline is fast approaching and many firms are in the midst of implementing the proper operational and regulatory changes necessary to comply with the new European directive. How do you know your implementation is in-line with your peers and you have the balance right between commercial expectations and compliance with the directive? Have you independently tested what you’ve done to ensure you’ve covered every last detail?
 

September 28, 2017 | Compliance Alert

Below are the regulatory filing submission deadlines occurring from October through December 2017.

September 28, 2017 | Compliance Alert

On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advertising Rule”).

September 27, 2017 | Article
Protecting Your Business from All Angles —  Preventing a Cyber Incident from the Top-Down and Inside-Out

Cyber incidents can have devastating effects on business of all sizes. A breach or malware attack could cripple business operations, lead to financial losses, expose sensitive data, and cause reputational damage.

September 26, 2017 | Compliance Alert

The U.S. Securities and Exchange Commission (SEC) announced two cyber enforcement initiatives on September 25, 2017 to address cyber threats and protect retail investors. The SEC will create a Cyber Unit to target cyber-related misconduct and establish a Retail Strategy Task Force to enforce initiatives that impact retail investors.

September 26, 2017 | Cyber Alert
Threat Summary
September 25, 2017 | Compliance Alert

October 1, 2017 is the compliance date for the Form ADV amendments and the books and records rule amendments which were adopted in August 2016.
 

September 21, 2017 | Compliance Alert

U.S. Financial Institutions (FI's) are required to file a Currency Transaction Report (CTR) for each transaction in currency over $10,000. A transaction is any deposit, withdrawal, exchange, or other payment or transfer made by, through, or to the Financial Institution. These CTR's must then be filed with the Financial Crimes Enforcement Network (FinCEN).

September 21, 2017 | Compliance Alert

In 2016, Venezuela ranked 166thout of 176 countries listed on the Corruption Perception Index issued by Transparency International[1] . As Venezuela's social and economic situation continues to deteriorate, there is an increased risk of corruption money making its way to the U.S. financial system. This risk, combined with sanctions imposed by the U.S.