GRC webcasts

Governance, Risk, and Compliance (GRC) Webcasts

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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.

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June 6, 2018

SFC’s Fund Manager Code of Conduct: How to prepare

Changes to the Securities and Futures Commission (SFC) Fund Manager Code of Conduct are getting ever closer. What must your firm do to be ready for this significant change? Derek McGibney, our Managing Director for Asia, will discuss practical steps on how prepare for the approaching deadline. 
On Demand
May 30, 2018

Investment Company Board Reporting

We invite you to join us on Wednesday, May 30th at 11 A.M. EDT for a live complimentary webcast. Tune in to hear ACA Compliance Group's James Pappas and Nelda Kacyem discuss Investment Companies’ board reporting requirements relating to several areas of the Investment Company Act of 1940, including Section 15(c), affiliated transactions, Rule 17j-1, and Rule 38a-1.
On Demand
May 15, 2018

SEC Exams of Digital (Robo) Advisers

The rapid increase of automated investment platforms (including robo-advisers) has prompted the SEC to increase its scrutiny of this emerging industry. These so-called “robo-advisors” are disrupting the traditional investment adviser industry by providing clients with discretionary asset management services, typically with limited human interaction, through an algorithmic-based, online delivery model.
On Demand
April 26, 2018

Discussion of Results: Spring 2018 Alternative Fund Manager Compliance Survey

ACA Compliance Group invites you to join our live webcast discussing the results of our Alternative Fund Manager Survey on Thursday, April 26th at 11:00 a.m. - 12:15 p.m. Eastern Time.This is the tenth survey of our ongoing series and is focused on electronic communications, compliance programs, personal trading, and anti-bribery and corruption. During ACA’s last iteration of this survey series in September 2017, we received nearly 270 responses.
April 25, 2018

Independent Broker Dealer Compliance Roundtable

Please join ACA Compliance Group on April 25, 2018 at 2pm EDT 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.
April 18, 2018

GIPS Standards Committees and Working Groups

Firms of all sizes frequently ask about the relevance and importance of forming a GIPS® Standards Committee within their organization. Startup firms debate whether a GIPS Standards Committee provides any added value when limited personnel causes constraints on resources. Conversely, well established, global entities often see the added value in having a committee but must weigh the operational burdens involved.
On Demand
April 17, 2018

Lessons Learned from Recent Cyber Incidents: Facebook, Under Armour, Panera, and What You Need to Know

Join Raj Bakhru, Partner at ACA Aponix, on Tuesday, April 17 at 11:30am ET as he examines recent high-profile breaches at companies including Facebook, Under Amour, Panera, and others. Raj will discuss key protections your firm can implement to avoid similar breaches, what investment professionals and directors should be thinking about, and the sophisticated attacks targeting sensitive data.Discussion topics will include:
On Demand
April 11, 2018

Compliance Roundtable Webcast for Bank Affiliated Broker-Dealers

Please join ACA Compliance Group and BISA on April 11, 2018, at 2 pm EDT for a webcast workshop designed to assist compliance professionals from bank affiliated broker-dealers in dealing with both current and unique regulatory challenges. 
April 10, 2018

A Brave New World – Primers on Big Data and Cryptocurrency Risks

Please join Danielle Joseph and Jami Jack from ACA Compliance Group, and Christopher Wells, Jeffrey Neuburger, and Robert Leonard from Proskauer Rose LLP, for a live webcast in which they’ll shed light on two emerging topics impacting compliance officers and investment advisers this year - Cryptocurrencies and Big Data. Cryptocurrencies are experiencing a surge in popularity, but
On Demand