ACA WEBCAST DIRECTORY
It is important to conduct third-party risk management to protect your company, but the process can be lengthy and time-consuming. This webcast will explore how your company can save valuable time and resources. Join us for a half hour discussion about how leveraging a clearinghouse model can improve the due diligence process.
On Demand
COVID-19-related market volatility and risks posed by employees working from home have financial regulators on high alert across the globe. The SEC, FCA, SFC, and FINRA in recent months have all called out their continuing focus on detecting and punishing insider trading, market abuse, and other misconduct. Panelists will discuss topics including the recent regulatory notices on market abuse, why regulators are homing in on market abuse in this environment, and practical steps firms can take to...
On Demand
The governance requirements of the Investment Company Act of 1940 can be lengthy and overwhelming. ACA's Erik Olsen, Managing Director, and Chris Kemp, Senior Principal Consultant, will break down the governance requirements of registered funds and business development companies.
On Demand
Are you aware of how the latest requirements impact on your transaction reporting obligations? The most recent phase of the amended European Market Infrastructure Regulation (“EMIR REFIT” or simply “REFIT”) came into effect on 18 June 2020. These latest requirements are designed to simplify a derivatives regime currently seen as burdensome to some market participants, particularly those whose risk profile is unlikely to impact macro stability.
On Demand
By March of next year, many financial services firms will need to publicly disclose the extent to which they integrate sustainability risks as factors into their investment decision/advisory processes.
On Demand
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
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
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
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