conferences, training, and events

Conferences, Training, and Events

For compliance, risk, and technology professionals

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ACA offers several engaging, dynamic educational opportunities so that you and your staff stay informed on regulatory initiatives, GIPS® standards, and GRC industry topics.

SPOTLIGHT

ACA GRC Online Training Modules

 

Our online user-led training courses with trackable benchmarks and testing help ensure your staff are trained effectively to comply with new industry regulations such as GDPR and understand their role in protecting your firm against insider trading and cybersecurity risks.

Insider Trading Training

During the course, we'll cover:

  • How to recognize material non-public information (MNPI)
  • Common sources or situations involving MNPI
  • Practical guidance to protect your firm’s reputation

Length: 35 Min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff

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Online Cybersecurity Awareness Training

During the course, we'll cover:

  • Examples of phishing and vishing incidents
  • Examples of malware incidents to investment advisers
  • Key protections staff should know
  • And more

Length: 30 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff

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GDPR Awareness Training

During the course, we'll cover:

  • An overview of GDPR;
  • Personal data and special categories of data
  • Data protection ecosystem
  • And more

Length: 15 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff who work with personal data

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Sexual Harassment Prevention Training

During the course, we'll cover:

  • Sexual Harassment in the Workplace
  • Retaliation
  • Supervisors’ Responsibilities
  • What to Do if Harassed
  • Additional Protection and Remedies
  • Sexual Harassment Case Studies

Length: 40 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? This course is appropriate for all employees at any size firm within any industry. This course was designed to meet the New York State requirements and built based upon the New York State curriculum.

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GRC online training modules

ACA Webcasts

Webcast
November 5, 2019

Best Practices for a Holistic Monitoring Programme

Preventing, detecting, and punishing market abuse is a high priority for regulators - whether acted in a personal or professional capacity. Ensuring you have a well-rounded and comprehensive compliance monitoring programme that covers critical areas and presents a full picture of activities is vital to mitigate risks.
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Webcast
October 31, 2019

The Scariest Cyber Breaches of 2019

Join us for the horrifying retelling of the scariest cyber incidents of 2019. Learn from these incidents and see how you can apply best practices to improve your security, educate employees, and protect your business.
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Webcast
October 30, 2019

Model Delivery Trends: The Shift Towards Third-Party Certification

According to new research, model portfolio assets will more than double in the next four years if the 19% annualized growth rate continues. As demand for specialized portfolios rises, model advisory platforms have slowly put stricter due diligence procedures in place in order for firms to gain access to their platforms.
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Webcast
October 29, 2019

The Perils and Pitfalls of Data Validation

Join us on October 29, 2019 at 2:00pm ET when we will discuss the challenges that BSA/AML and Sanctions compliance groups face when it comes to data validation and provide insights to help compliance groups successfully conduct a data validation.
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Webcast
October 23, 2019

ACA's Employee Compliance Solution - Demo and Q&A for Compliance ELF Clients

ACA's Jordan Schwartz will provide a live demo of ACA's new Employee Compliance solution, which updates, expands, and enhances the existing capabilities of Compliance ELF. Jordan will demonstrate the features of the new system as well as discuss the upgrade process for existing Compliance ELF clients.
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Webcast
October 22, 2019

Lessons Learned from the Liquidity Risk Management Program Rule

Tune in Tuesday, October 22, 2019 at 2 p.m. ET to hear from ACA Compliance Group’s Erik Olsen, Managing Director, and Steve Birch, Risk Director at Jackson National Asset Management as they review the Liquidity Risk Management Program Rule and share their experiences in implementing its various requirements.
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Webcast
October 17, 2019

What's New in ComplianceAlpha 2.0? Live Demo and Q&A

ComplianceAlpha 2.0 is our next-generation risk and compliance management platform designed to help firms strengthen and streamline their compliance program across the enterprise from a single location. Please join us for a live demonstration and Q&A on what's new in ComplianceAlpha® 2.0.
On Demand
Webcast
October 10, 2019

Best Practices in Compliance Forensic Testing

Please join ACA Compliance Group's Michael Abbriano and Paul Mucho on Thursday, October 10, 2019 at 11:00am ET for as they discuss best practices in forensic testing, including electronic communications reviews and trade surveillance.
On Demand
Webcast
October 9, 2019

AML and Sanctions Compliance for Asset Managers

Join us for a live webcast on October 9, 2019 at 11:00am ET when we will discuss the types of sanctions and money laundering risks assets managers face and best industry practices to mitigate those risks.
On Demand

ACA Training, Conferences, and Events

Training (London)
October 25, 2019

Compliance Induction - 25 October 2019

Course Overview:Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
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Speaking Engagement
October 28, 2019

New England Broker Dealer Investment Adviser Association

Tom Grygiel is delighted to share his insights about Regulation Best Interest, the Investment Adviser Fiduciary Rule, and Form CRS Relationship Summary at the New England Broker Dealer Investment Adviser Association on October 28. Visit the event webpage for more information.
Training (London)
October 30, 2019

Senior Management Obligations in FCA regulated firms - 30 October 2019

Course Overview:The ever-increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Management to have a full understanding of what they need to do to achieve compliance with two specific parts of the Rules.Course Objectives:
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Training (London)
October 30, 2019

Individual Senior Management Responsibilities under the SMCR - 30 October 2019

Course Overview:
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Training (London)
November 7, 2019

Financial Crime Prevention - 7 November 2019

Course Overview:This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).
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Training (London)
November 8, 2019

Compliance Officer: The Roles and Responsibilities - 8 November 2019

Course Overview:The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.
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