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.
WebcastMay 16, 2019FCA - Turning Up the Heat on Market Abuse
Hosted by:With the FCA operational objectives and current business plan continuing to include "Integrity" and "Consumer Protection" it comes as no surprise that each year we see enforcement action against organisations and individuals for offences relating to market abuse. On Demand
WebcastMay 14, 2019Independent Broker-Dealer Compliance Roundtable
Please join ACA Compliance Group on May 14 at 2pm ET for a webcast workshop designed to assist compliance professionals of independent broker-dealers in dealing with both current and unique regulatory challenges. Our industry-knowledgeable panelists will discuss topics relevant to this specific type of firm. On Demand
WebcastApril 23, 2019Compliance Roundtable for Bank Affiliated Broker-Dealers
Please join ACA Compliance Group and the Bank Insurance & Securities Association (BISA) on April 23, 2019 at 2pm EST for a webcast workshop designed to assist compliance professionals of bank affiliated broker-dealers in dealing with both current and unique regulatory challenges. Our industry-knowledgeable panelists will discuss topics relevant to this specific type of firm. On Demand
WebcastApril 23, 2019The Credit Manager's Path to GIPS Compliance
Claiming compliance with the Global Investment Performance Standards (GIPS) is gaining significant traction with credit asset managers due to increased demand from institutional investors. On Demand
WebcastApril 18, 2019Oversight of Fund Service Providers
Please join ACA Compliance Group's James Pappas and Putnam Investments' Michael J. Woodall on Thursday, April 18th at 2 pm EDT for our complimentary webcast, Oversight of Fund Service Providers. On Demand
WebcastApril 11, 2019Demonstration of ACA Aponix’s Virtual Privacy Office (VPO) Technology Solution
Join ACA’s Raj Bakhru and Paul Schappell on Thursday, April 11, 2019 at 11 a.m. ET for a live demonstration and Q&A on ACA Aponix’s new virtual privacy office (VPO) software solution. This new feature set, available within the ACA Aponix Platform module of ACA’s ComplianceAlpha®, is designed to help companies comply with the requirements of various data privacy regulations, including GDPR, CCPA, GLBA, etc. On Demand
WebcastApril 9, 2019Compliance Considerations for Quantitative Investment Strategies
Quantitative investment strategies present a number of unique considerations for compliance officers: model management processes, human overrides of model-generated signals, correction of coding errors, and backtested performance, among others. Recent SEC enforcement activity has shown that managers who do not adopt robust controls that are well-tailored to address the particular risks associated with quantitative investment strategies could face serious regulatory exposure. On Demand
WebcastMarch 26, 2019Compliance for Robo and Digital Advisers
Please join Jack Rader, Allison Charley, Mark Perlow, and James Silk on Tuesday, March 26th at 2pm EDT for a complimentary webcast focused on robo and digital advisers. Our speakers will discuss regulatory trends, recent enforcement cases, unique robo and digital adviser issues, and provide practical guidance for compliance personnel. On Demand
WebcastMarch 15, 2019Private Equity Update
Please join ACA Compliance Group's Vivek Pingili, Paul Schappell, and Phil Fijal on Friday, March 15th at 2 p.m. ET for a complimentary webcast focused on key regulatory trends and developments that private equity managers should consider in 2019. On Demand
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