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
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.
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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.
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Webcast
August 28, 2019

Regulation Best Interest

Join us August 27 at 3:00 PM ET when we will break down the requirements of this regulation and what it means for broker dealers.
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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.  
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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
Webcast
July 23, 2019

Enhance the Security of Your Office 365 Environment

Companies are increasingly moving to cloud-based services such as Microsoft Office 365. While Microsoft has invested significantly in the security of Office 365, many companies do not take full advantage of the available security settings, which can dramatically impact the security and regulatory posture of your environment.
On Demand
Webcast
July 18, 2019

Credit-Focused Adviser Series: MNPI Issues and Conflicts of Interest Relevant to Credit Strategies

ACA Compliance Group invites you to join us for a three-part webcast event: Credit-Focused Adviser Series.  
Purchase
Webcast
July 17, 2019

The GIPS Standards: Are You Ready for 2020?

The highly anticipated release of the 2020 GIPS Standards is finally here! ACA Performance Services’ Crista DesRochers and Gabe Glass will highlight the material changes to the GIPS standards, including how the final version compares to the 2020 GIPS Standards Exposure Draft.
On Demand

ACA Training, Conferences, and Events

Training (London)
August 22, 2019

Writing an Effective Compliance Report - 22 August 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.
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Training (London)
August 30, 2019

Compliance Induction - 30 August 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”.
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Training (London)
September 3, 2019

Financial Crime Prevention - 3 September 2019

Course Overview:This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 24 of the Money Laundering Regulations 2017 (MLR).The MLR states:
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Training (London)
September 3, 2019

Anti-Money Laundering Awareness - 3 September 2019

Course Overview:Under Regulation 24 of the Money Laundering Regulations 2017 (MLR) Senior Management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition, refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.
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Training (London)
September 5, 2019

Suitability and Appropriateness: Avoiding mis-selling - 5 September 2019

Course Overview:This is a very interactive one-day course, designed to provide practical guidance to individuals involved in selling investment products to consumers.Cases studies used during the course will highlight the errors that firms and individuals have made and which have resulted in heavy fines being imposed by the Regulator.
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Training (London)
September 12, 2019

Senior Management Obligations in FCA Regulated Firms - 12 September 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.
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Training (London)
September 12, 2019

Preparing Your Firm for SM&CR - 12 September 2019

Course Overview:
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Training (London)
September 12, 2019

Individual Senior Manager Responsibilities Under SM&CR - 12 September 2019

Course Overview:
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