GRC webcasts
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Governance, Risk, and Compliance (GRC) Webcasts

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ACA hosts a variety of free and paid webcasts each year. These webcasts cover a range of topics including regulatory compliance, performance, cyber security, financial crime, and financial technology. Most webcasts hosted by ACA are available on demand for three years after the presentation date.

For more information, contact us at webcastinfo@acacompliancegroup.com.

ACA WEBCAST DIRECTORY

 

Webcast
June 30, 2020

Moving Towards the “Now” Normal Work Environment

Over the past two-plus months firms have navigated through new work-from-home environments as a result of the novel COVID virus. But what does the work environment look like as cities and states look to lift stay-at-home orders?
On Demand
Webcast
June 25, 2020

2020 Investment Management Compliance Testing Survey Results Webcast

ACA Compliance Group, the Investment Adviser Association, and BrightSphere Investment Group invite you to join our live webcast discussing the results of the 2020 Investment Management Compliance Testing Survey on June 25 at 1:00PM ET.
Purchase
Webcast
June 16, 2020

Data Privacy Considerations for the Next Phase of CCPA and COVID-19

With the July 1, 2020 CCPA enforcement date quickly approaching and the ongoing privacy risks associated with the COVID-19 pandemic, privacy is a top concern for many firms. Join us June 16, 2020 when we discuss the landscape of privacy regulation in the U.S. and offer guidance to preserve the health and data privacy of employees as preparations are made to return to the office.
On Demand
Webcast
June 9, 2020

Are You Ready for Regulation Best Interest?

The June 30, 2020 compliance date for Regulation Best Interest (“Reg BI”) and Form CRS is fast approaching. Both the SEC and FINRA have stated they will conduct examinations after the compliance date that will focus on whether a broker-dealer has made a “good faith” effort to comply with the new regulations.Will your firm be ready?
On Demand
Webcast
May 22, 2020

Tales from the Trenches: Experiences from Regulatory Exams

Join our panelists who have experienced SEC and NFA exams in the past year as they share their experiences and what to expect during these exams.
On Demand
Webcast
May 20, 2020

The Tech-Enabled CCO: The Rise of RegTech and What it Means for Your Firm

Regulators globally continue to invest in their own technology and data analytics capabilities, resulting in the rise of regulatory technology, or “RegTech.” When combined with buzz-worthy technologies like artificial intelligence (AI) and machine learning, CCOs are feeling the pressure to become tech experts.
On Demand
Webcast
May 20, 2020

Electronic Messaging, Social Media, and More

This panel will dive into best practices and ideas for monitoring electronic messages employees are using for business purposes. 
On Demand
Webcast
May 15, 2020

Performance Presentation and Compliance Control for Model Delivery Program

Regulatory scrutiny of performance and related supporting records continues to be a hot topic for examiners. In the first half of this session, panelists will recap performance-related SEC actions from recent headlines and what you can do to stay ahead. The second half will focus on the SEC's proposed amendments to the Advertising and Cash Solicitation Rules. While the amendments are not finalized, advisers should analyze the changes that may be needed to their firm's marketing.
On Demand
Webcast
May 13, 2020

The SEC's Focus on Performance and the New Advertising Cash Solicitation Rules

Regulatory scrutiny of performance and related supporting records continues to be a hot topic for examiners. In the first half of this session, panelists will recap performance-related SEC actions from recent headlines and what you can do to stay ahead. The second half will focus on the SEC's proposed amendments to the Advertising and Cash Solicitation Rules. While the amendments are not finalized, advisers should analyze the changes that may be needed to their firm's marketing.
On Demand