conferences, training, and events

Conferences, Training, and Events

For compliance, risk, and technology professionals

Contact Us

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

Learn more

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

Learn more

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

Learn more

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.

Learn more

GRC online training modules

ACA Webcasts

Webcast
September 26, 2019

Highlights from the 23rd Annual GIPS Standards Conference

The 23rd Annual GIPS Standards Conference, sponsored by CFA Institute, will be held in Scottsdale on September 11-12, 2019. Join ACA Performance Services' Chase Frei and Elena Mckee-Dabbs on September 26, 2019 as we discuss highlights from the conference including an update on the 2020 GIPS Standards and other performance and regulatory topics.
Register
Webcast
September 25, 2019

Credit-Focused Adviser Series: Best Execution, Allocation and Custody Issues for Credit Strategies

ACA Compliance Group invites you to join us for a three-part webcast event: Credit-Focused Adviser Series.
Purchase
Webcast
September 24, 2019

Modernizing Internal Audit Approaches for Financial Institutions

Join us Tuesday, September 24 at 2:00pm ET for a live webcast about the challenges faced by Internal Audit departments in Financial Institutions. We will share practical ideas to meet these challenges and review the recent guidance issued by the Institute of Internal Auditors (IIA) about their 3LoD model.
Register
Webcast
September 17, 2019

Coffee Break with ACA Aponix: Cybersecurity Regulatory Update

On Tuesday, September 17th at 11:00 AM EDT, we invite you to take a coffee break and join ACA Aponix's Askari Foy, Managing Director, and Marc Lotti, Partner, for a live webcast discussion of key risks, trends, and regulatory expectations for investment advisers. Attendees will gain a deeper insight into how to enrich their cybersecurity programs and prepare for cybersecurity examinations.
On Demand
Webcast
September 5, 2019

Why Mutual Fund Distributors Have Unique Compliance Requirements

Please join ACA Compliance Group's Thomas Riley and Thomas Grygiel on Thursday, September 5 at 11 am ET for a webcast to discuss the oversight of mutual fund distribution activities when dealing with current regulatory requirements. Our industry-knowledgeable consultants from ACA will discuss topics relevant to regulatory requirements unique to mutual fund distributors.
On Demand
Webcast
August 28, 2019

Regulation Best Interest

Join us August 28 at 3:00 PM ET when we will break down the requirements of this regulation and what it means for broker dealers.
On Demand
Webcast
August 14, 2019

Credit-Focused Adviser Series: Valuation and Performance Issues for Credit Strategies

ACA Compliance Group invites you to join us for a three-part webcast event: Credit-Focused Adviser Series.  
Purchase
Webcast
August 5, 2019

SEC Rule 15a-6

Considering SEC Rule 15a-6 as an option instead of registering as a broker-dealer with the SEC?  Or are you in an arrangement and are interested in learning about best practices?  Rule 15a-6 can be a very complex rule to understand.
On Demand
Webcast
July 24, 2019

RegTech Solutions for Compliance Challenges: Code of Ethics Monitoring and Personal Trade Surveillance

Code of Ethics monitoring and surveillance remains one of the most actively managed areas of companies’ compliance programs. It is also one of the most significant areas of RegTech adoption. In this webcast, industry professionals as well as ACA experts will explore the best practices and lessons learned in code of ethics monitoring and personal trade surveillance as well as looking at the future of RegTech in this area.
On Demand

ACA Training, Conferences, and Events

Training (London)
September 19, 2019

The Market Abuse Regulation - 19 September 2019

Course Overview:This course will provide you with an understanding of what the MAR means to your firm and your employees. The course focuses on the rules and the practical application of systems and controls to identify and reduce the risk of market abuse.The FCA states that “Preventing, detecting and punishing market abuse is a high priority for us.”
Book
Training (London)
September 20, 2019

Identifying and Managing Conflicts of Interest - 20 September 2019

Course Overview:The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly.The obligation on Senior Management is to implement and maintain appropriate systems and controls to identify and manage the risks to the firm and the employees of a conflict occurring.
Book
Training (London)
September 20, 2019

Corporate Governance in Financial Services Firms - 20 September 2019

Course Overview:
Book
Training (London)
September 23, 2019

Building an Effective Compliance Monitoring Programme - 23 September 2019

Course Overview:Senior Management Arrangements, Systems and Controls in the regulator’s handbook sets out responsibility that a Compliance Officer has is to monitor, and on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place by Senior Management to ensure compliance with the relevant rules and regulations.
Book
Training (London)
September 23, 2019

Writing an Effective Compliance Report - 23 September 2019

Course Overview:One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.
Book
Training (London)
September 24, 2019

The FCA Code of Conduct Rules: Understanding and Complying with COCON - 24 September 2019

Course Overview:From 9th December 2019 the extension of the SM&CR will mean that senior managers and certification staff in all regulated financial services industry firms will need to comply with the Conduct Rules.Firms will then have 12 months before the Conduct Rules are expanded to cover all but ancillary staff.
Book
Training (London)
September 27, 2019

Compliance Induction - 27 September 2019

Course Overview: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”.
Book