In 2018, we hosted 58 public webcasts featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.
As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2018 and share them with you. All the following webcasts are available on demand to view at your convenience.
- Common Marketing Pitfalls for Investment Advisers
This webcast dives into common marketing and advertising issues related to Rule 206(4)-1 and best practices for registered investment advisers.
- SEC Examination Priorities and Focus Areas for 2018
This webcast explores the U.S. Securities Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released in their 2018 examination priorities.
- Personal Trading: Rule vs. Best Practice
This webcast discusses the Code of Ethics Rule and industry best practices in dealing with the personal trading requirements under Rule 204A-1 under Investment Advisers Act of 1940 (the “Code of Ethics Rule”).
- Understanding Regulatory Requirements vs. the GIPS® Standards
This webcast provides best practices to address both GIPS and SEC requirements for Investment Advisers. Panelists will share a high-level overview of the regulatory and performance challenges around portability, mergers and acquisitions, and performance advertising.
- Cybersecurity Considerations for Investment Companies
ACA Aponix's team discuss cybersecurity best practices and trends for fund boards, subadvisers, and investment company service providers with cybersecurity oversight.
- Lessons Learned from Recent Cyber Incidents: Facebook, Under Armour, Panera, and What You Need to Know
This webcast examines recent high-profile breaches involving Google Plus, Facebook, Reddit, British Air, and Colorado Timberline, and others. The speaker will discuss what your firm can learn from these incidents, key protections you can implement to avoid similar breaches, and how regulations come into play needs.
- The Value of GIPS Compliance: 2018 Manager and Consultant Survey Results
This webcast will discuss current trends and the effect of the GIPS standards on the investment management industry.
- Data Governance and Management in BSA/AML and Sanctions Compliance
This webcast explores the importance of effective data management to optimize operations, mitigate risk, and support the development of new products and services.
- Private Equity Regulatory Update
This webcast explores insights into recent examination trends and novel issues during 2018, through the perspective of ACA's compliance, performance, and cybersecurity divisions.
- GDPR: Preparing for the May 25 Deadline
During this webcast you will hear a discussion on the steps your firm should take to prepare for the EU General Data Protection Regulation (GDPR)’s May 25 compliance deadline.
Thank you for joining our webcasts, and we look forward to sharing more insights and guidance with you in 2019!
About the Author
Lauren Hazelwood is the Marketing Associate for ACA Performance Services, a division of ACA Compliance Group. Her primary responsibilities include overseeing webcasts and digital marketing. Lauren earned her Bachelor of Science degree in Marketing from the University of Tennessee at Chattanooga.