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.
WebcastAugust 5, 2020Third-Party Risk Management Programs – Collaborating for Results
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
WebcastJuly 28, 2020Regulatory Spotlight: The Heightened Focus on Insider Trading and Market Abuse Due to COVID-19
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
WebcastJuly 22, 2020Investment Company Act for New Fund Sponsors
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
WebcastJuly 14, 2020 EMIR Refit: Reporting Checklist
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
WebcastJuly 8, 2020Sustainable Finance Disclosure Regulation: Challenges, Pitfalls and Developing a Roadmap
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
WebcastJune 30, 2020Moving 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
WebcastJune 25, 20202020 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
WebcastJune 16, 2020Data 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
WebcastJune 9, 2020Are 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
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