ACA WEBCAST DIRECTORY
On January 4, 2017, FINRA released the eleventh edition of its “Regulatory and Examinations Priorities Letter.” As broker-dealer compliance personnel review their compliance program enhancements for 2017, they On Demand
ACA Compliance Group is offering the second of two webcasts designed to review and provide insight into the SEC’s recent rule adoptions affecting funds registered under the Investment Company Act of 1940. On Demand
ACA Compliance Group is offering the first of two webcasts designed to review and provide insight into the SEC’s recent rule adoptions affecting funds registered under the Investment Company Act of 1940. On Demand
On Thursday,26 January 2017, from 1:30p.m - 2:30p.m. (GMT), Andrew Welch, Martin Lovick and Mary Campion, with ACA Compliance (Europe) Limited, will be presenting the latest in our MiFID II webcast series, Implementing of MiFID II: The Top Five Challenges Faced by Investment Managers.
The cloud adoption rate has been increasing in the financial services sector, but the perceived inability to enforce corporate security policies has been an Achilles heel for many firms. A firm may have strict safeguards and policies in regards to its on-site footprint, but can these same safeguards be emulated when using a cloud provider? On Demand
Our speakers will provide an overview of cyber incidents, including:Examples of cyber incidentsHow to prepare and plan for a cyber incidentWhat to do if your firm becomes involved in a cyber incidentThis webcast is part of the ACA Aponix Webcast Series 2016 Cybersecurity Hot Topics. On Demand
Please join ACA Compliance Group for a second webcast workshop designed to assist compliance professionals of broker-dealers in dealing with the potential regulatory challenges of meeting the DOL fiduciary rule. Our industry-knowledgeable panelists from ACA and Sutherland Asbill & Brennan will discuss a range of topics associated to the fiduciary rule.The webcast will explore the impact of the DOL fiduciary rule on the following areas: On Demand
When faced with the challenge of raising capital or marketing performance, investment managers are looking for ways to stand out from their peers. It is not uncommon for these firms to build and present custom track records that enhance the conventional use of actual performance. Examples we have seen are: Register
ACA Summer School is a series of complimentary webcasts targeted toward compliance professionals in the UK and Europe with an interest in learning more about the U.S. regulatory regime for SEC registered advisors and managers, as well as those trading in U.S. markets.