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 22, 2020Tales 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
WebcastMay 20, 2020The 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
WebcastMay 20, 2020Electronic 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
WebcastMay 15, 2020Performance 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
WebcastMay 13, 2020The 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
WebcastMay 13, 2020Form ADV: Regulation BI and Form CRS
Regulation BI and Form CRS implement changes to the Form ADV for investment advisers to retail clients. The compliance date to adopt these changes is June 30, 2020. Join panelists as they discuss what exactly the changes are that are required by Regulation BI and Form CRS and how to comply by the end of June. On Demand
WebcastMay 8, 2020Performance Considerations - Mergers & Acquisitions and Changes to the Firm Definition
This session will discuss the challenges of both mergers and acquisitions and firm re-definitions including how and when to define the new firm, merging policy manuals and different methodologies, identifying surviving composites, and the standardization of branding, marketing materials, and distribution of performance. Panelists will share their experiences and how they’ve overcome some of these challenges. On Demand
WebcastMay 6, 2020Supervision and Disclosure of Conflicts of Interest
The SEC is very focused on investment advisers conflicts of interest and what firms are doing to mitigate those conflicts. Panelists will discuss the deficiency areas in the risk alert and what investment advisers can do to properly identify and mitigate their conflicts of interest. On Demand
WebcastMay 6, 2020Fundamentals of Crisis Management
As part of the compliance role, you may be involved when there is a crisis at your firm. It could be that the firm has a compliance problem or that a client or investor has a significant issue and compliance gets looped in. This session will discuss some basic ground rules to crisis management that you can take back to your firms. On Demand
Sign up today for ACA news, alerts, and events.
