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Fall 2020 Virtual Conference

ACA's Compliance & Performance Conference

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Experience the ACA difference


In response to the impact the coronavirus (COVID-19) pandemic is having on our clients and the financial services industry, ACA's Fall 2020 Conference is free to attend and will deliver all the insights of our in-person conference from the safety and comfort of your own home.

ACA's Fall 2020 Virtual Conference will introduce ACA's first-ever Cyber Week on October 6 & 7, featuring two days of insightful sessions and engaging conversations with cybersecurity and risk experts, financial firms, and experienced senior professionals on the cybersecurity and risk challenges and issues facing financial firms today.

Two weeks of learning


ACA's Fall 2020 Virtual Conference includes two weeks of carefully curated sessions covering topics in compliance, performance, and cybersecurity.


September 29 - October 1 | Virtual

Policies, Procedures, and Governance

Compliance & Performance Conference

Join us for three days of insightful sessions and engaging conversations with compliance and performance experts, leading attorneys, and experienced senior professionals. Learn about a variety of topics relevant to these roles, including regulatory compliance, performance, and regulatory technology.

Who should attend?

Senior compliance, performance, technology, and operations professionals from financial services firms


Tuesday, September 29

Keynote Fireside Chat with Peter Driscoll and Carlo di Florio

7 AM PT  |  10 AM ET  |  3 PM BST

Tune in as we kick-off the conference with a 45-minute fireside chat with Peter Driscoll, Director, U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and Carlo di Florio, ACA Compliance Group Partner and Global Chief Services Officer. Please note: this session will be closed to the press. 


The Future of Risk and Compliance in the Age of RiskMutation™

8 AM PT  |  11 AM ET  |  4 PM BST

The COVID-19 pandemic has changed the way that businesses function currently and will in the future. With the changing geo-political climate, market volatility, and remote environments becoming the new norm there are challenges and risks that investment advisers face. Join panelists as they discuss how the current climate will influence trends and strategies within risk and compliance.


ESG Risk and Regulation

10 AM PT  |  1 PM ET  |  6 PM BST

Client and investor focus on environmental, social, and governance (ESG) issues has grown and evolved both in the U.S. and internationally. As this demand continues, investment advisers seek to apply ESG standards to the investment process. Join panelists as they discuss how compliance intersects with other business areas to create an effective ESG program.


The Evolution of Marketing and Investor Relations

12 PM PT  |  3 PM ET  |  8 PM BST

Current market conditions have started to change the way that investors are thinking about investing. A shift in client and investor demand causes a shift in how investment advisers think about marketing their products and maintaining their current client and investor relationships. Panelists will discuss themes within marketing that should be considered including performance disclosure related to style drift, handling of client and investor complaints, effective ways to communicate with clients and investors, and more.

Wednesday, September 30

Countdown to December 31, 2020 – Is your firm compliant with the 2020 GIPS® standards?

8 AM PT  |  11 AM ET  |  4 PM BST

The effective date to claim compliance with the 2020 GIPS standards is just three short months away. This session will highlight what you need to do to be ready, including some of the common challenges of implementing the 2020 GIPS standards and practical solutions to overcome those challenges. 

Marketing Performance in the "New Normal"

10 AM PT  |  1 PM ET  |  6 PM BST

Please note: this session will be closed to press.

No firm is immune from the challenges that exist in our current environment. From the ever-changing safety guidelines to working from home to the rollercoaster market, it’s important to adapt your firm’s marketing practices to the new normal. Join panelists as they provide insight into what has changed in this new environment, including how to ensure proper oversight and best practices around presenting strategy performance, considerations around books and records, due diligence on returns achieved by a third party, and developing robust internal review processes. 

Performance Challenges for Alternative Structures

12 PM PT  |  3 PM ET  |  8 PM BST

Transparency and understanding the underlying methodologies continue to be issues for alternative investment managers as they look to market their track records. This session will help to address these issues by diving into topics such as subscription lines, track record assembly, appropriate performance methodologies, acceptable books and records, and whether claiming compliance with the 2020 GIPS standards makes sense.

Thursday, October 1

The New Prudential Regime for Investment Firms in the EU

8 AM PT  |  11 AM ET  |  4 PM BST

The 2021 deadline for the Investment Firm Directive (IFD) and Investment Firm Regulation (IFR) under the prudential regime is fast approaching for those firms based in the EU. This sessions will provide an overview of the IFD and IFR including a summary of key impact points for investment advisers.

The End of LIBOR in 2021

10 AM PT  |  1 PM ET  |  6 PM BST

With LIBOR ceasing to exist in 2021, what effects will this have on the alternative manager space? Advisers may need to update contracts, adjust valuations methodologies, investor reporting, and marketing materials if LIBOR was utilized. Join panelists as they discuss the challenges associated with removing this benchmark.

Current SEC Interest and Focus Areas

12 PM PT  |  3 PM ET  |  8 PM BST

Join our panelists as they discuss thematic lessons from recent SEC enforcement actions and examinations for both investment advisers and exempt reporting advisers. The discussion will also include pending initiatives and what is on the regulatory horizon. Please note: this session will be closed to the press. 


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October 6 - 7 | Virtual

Cybersecurity risk assessments

Cyber Week

Kick off Cybersecurity Awareness month by joining us for two days dedicated to the cybersecurity challenges and issues faced by financial services firms. ACA's first-ever Cyber Week will feature insightful sessions and engaging conversations with cybersecurity and risk experts, your peers, and experienced senior professionals.

Who should attend?

CISOs, CCOS, COOS, CFOs, Operating Partners, and cybersecurity and risk IT team leaders


Tuesday, October 6

Keynote Fireside Chat with Phil Venables

7 AM PT  |  10 AM ET  |  3 PM BST

Tune in as we kick-off ACA's first-ever Cyber Week with a 45-minute fireside chat with Phil Venables, Board Director and Senior Advisor (Risk and Cybersecurity) for Goldman Sachs and Mike Pappacena, Partner, ACA Aponix.

New Age of Cyber and Privacy

8 AM PT  |  11 AM ET  |  4 PM BST

Join our group of thought leaders in cybersecurity and data privacy to learn where cybersecurity threats are increasing, where regulators are probing, what’s next in data privacy requirements, and what defines a sound cybersecurity program. In this session, panelists will dig into existing, growing, and emerging threats. They will share their experiences and observations of actual cybersecurity examinations by regulators. They will detail the current and future outlook for data privacy regulation, and the potential impact for companies large and small. They will further discuss risks specific to portfolio companies, the importance of cybersecurity assessments pre- and post-deal, privacy regulation, and third-party risk. Panelists will help define the components of a sound cybersecurity program that can scale with any organization. 

Portfolio Company Risk Management 

10 AM PT  |  1 PM ET  |  6 PM BST

With the ever increasing number of cybersecurity attacks targeting portfolio companies and the resulting investment value, LPs and GP internal risk functions (i.e.  ESG, investment risk groups, etc.) have elevated expectations related to investment cybersecurity and privacy risk management oversight.  

At the same time, management's time is more limited than ever as they work to navigate the new normal, requiring a risk management oversight approach that is efficient, minimizes impact on management, and provides enough fidelity into the unique cybersecurity risks across the portfolio to drive change where needed.

To discuss various approaches to tackling this increasing challenge we have assembled a panel with experience deploying portfolio company risk management programs and how to effectively leverage cyber insurance as an added layer of protection.  In addition, we will examine how ACA's PortCo Defend and PortCo Protect have been leveraged by your peers to enhance PortCo risk management oversight.

Wednesday, October 7

Protect your Cash: Private Equity Payment Fraud

8 AM PT  |  11 AM ET  |  4 PM BST

Risk Payment fraud threats have become a major concern for organizations globally, with more than 80% of financial professionals reporting incidents of attempted fraud.  Global trends reflect a continued and sustained growth over the past 3 years. The tactics used by fraudsters evolve and increase in sophistication continually. Attempted attacks are becoming harder to identify resulting in greater success infiltrating organizational payment flows. In addition to the obvious financial impact, fraudulent incidents may subject firms to regulatory scrutiny, privacy concerns, reputational damage, litigation and loss of clients/investors. In addition, post-breach remediation costs can be extremely high at an average of $3 to every $1 lost. Join panelists as they discuss how to be proactive in predicting and assessing your firms exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident.

Third-Party Risk Management Programs – Finding the Right Balance

10 AM PT  |  1 PM ET  |  6 PM BST

As organizations around the world continue to engage third-parties to support their businesses, they often struggle when it comes to performing due diligence on the control environments of these third-parties. Third-parties themselves are faced with hundreds, if not thousands of due diligence requests, with differing formats, multiple platforms, and varying levels of inspection by clients looking to understand the quality of their internal controls as they engage for services. While we have moved closer in the past few years to the elusive holy grail of a standard assessment agreed to by all parties, we are still left with too many options and approaches. This is intended to be an interactive session with audience members to discuss current methods, what has been found to work well for this process, and what still needs to be accomplished by third-parties and their clients to achieve standardization and efficiency in the due diligence aspect of third-party risk management.

Scariest Cyber Breaches of 2020

12 PM PT  |  3 PM ET  |  8 PM BST

Join us for the horrifying retelling of the scariest cyber incidents of 2020. Learn from these incidents and see how you can apply best practices to improve your security, educate employees, and protect your business.


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Featured Speakers


Peter Driscoll

Peter Driscoll
Director, Office of Compliance Inspections and Examinations 
U.S. Securities and Exchange Commission 



Peter Driscoll was named Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) in October 2017, after serving as Acting Director since January 2017. 

Before that, he served as OCIE’s first Chief Risk and Strategy Officer since March 2016, and was previously OCIE’s Managing Executive from 2013 through February 2016. 

He joined the Agency in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program. 

Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association. 

Peter Driscoll

Jennifer Duggins
Assistant Director and Co-Head of SEC Private Fund Unit, 
Office of Compliance Inspections and Examinations 
U.S. Securities and Exchange Commission



Jennifer A. Duggins, IACCP® is Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Office of Compliance Inspections and Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Advisory Practice of KPMG. Prior to joining KPMG, Jennifer was Senior Vice President and Chief Compliance Officer of Chilton Investment Company. Prior to Chilton, Jennifer was Vice President, Legal and Compliance at Andor Capital Management. Jennifer has served as a Faculty Member and Director of the Board of the National Society of Compliance Professionals (NSCP) and served as a CCO Roundtable Steering Committee Member with the Managed Funds Association during 2009 and 2010. Jennifer received the Shannon Ayers Examination Award of Excellence in 2016 as part of the PFU for significant contributions to the SEC’s efforts to enhance compliance and protect investors and the SEC’s 2019 Information Technology Innovations Award. Jennifer has a B.A. in History from New York University and a M.S. in Human Resource Management from Sacred Heart University John F. Welch College of Business. Jennifer is also an Investment Adviser Certified Compliance Professional, IACCP® and a FINRA Certified Regulatory and Compliance Professional, CRCP®



For questions or more information regarding ACA's Fall 2020 Virtual Conference, please contact ACA Events

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