#00669a

Governance, Risk, and Compliance (GRC) Webcasts

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.

ACA WEBCAST DIRECTORY

 

Webcast
May 1, 2019

Surveillance: Are You Ready for the SEC’s Enhanced Data Request Lists?

Please join us for a live webcast discussion on Wednesday, May 1 at 4pm BST on the SEC’s recent increase in the types of data it requests from firms as part of investment adviser exams, what you need to know, and what you should do now to prepare.
Register
Webcast
April 23, 2019

Compliance Roundtable for Bank Affiliated Broker-Dealers

Please join ACA Compliance Group and the Bank Insurance & Securities Association (BISA) on April 23, 2019 at 2pm EST for a webcast workshop designed to assist compliance professionals of bank affiliated 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.
Register
Webcast
April 23, 2019

The Credit Manager's Path to GIPS Compliance

Claiming compliance with the Global Investment Performance Standards (GIPS) is gaining significant traction with credit asset managers due to increased demand from institutional investors.
Register
Webcast
April 18, 2019

Oversight of Fund Service Providers

Please join ACA Compliance Group's James Pappas and Putnam Investments' Michael J. Woodall on Thursday, April 18th at 2 pm EDT for our complimentary webcast, Oversight of Fund Service Providers.
Register
Webcast
April 11, 2019

Demonstration of ACA Aponix’s Virtual Privacy Office (VPO) Technology Solution

Join ACA’s Raj Bakhru and Paul Schappell on Thursday, April 11, 2019 at 11 a.m. ET for a live demonstration and Q&A on ACA Aponix’s new virtual privacy office (VPO) software solution. This new feature set, available within the ACA Aponix Platform module of ACA’s ComplianceAlpha®, is designed to help companies comply with the requirements of various data privacy regulations, including GDPR, CCPA, GLBA, etc.
On Demand
Webcast
April 9, 2019

Compliance Considerations for Quantitative Investment Strategies

Quantitative investment strategies present a number of unique considerations for compliance officers: model management processes, human overrides of model-generated signals, correction of coding errors, and backtested performance, among others. Recent SEC enforcement activity has shown that managers who do not adopt robust controls that are well-tailored to address the particular risks associated with quantitative investment strategies could face serious regulatory exposure.
On Demand
Webcast
March 26, 2019

Compliance for Robo and Digital Advisers

Please join Jack Rader, Allison Charley, Mark Perlow, and James Silk on Tuesday, March 26th at 2pm EDT for a complimentary webcast focused on robo and digital advisers. Our speakers will discuss regulatory trends, recent enforcement cases, unique robo and digital adviser issues, and provide practical guidance for compliance personnel.
On Demand
Webcast
March 19, 2019

FINRA Hot Topics of 2019

On January 22, 2019, FINRA released the thirteenth edition of its “Risk Monitoring and Examination Priorities Letter.” As broker-dealer compliance personnel review their compliance program enhancements for 2019, they should focus on the “areas of significance” designated by FINRA.
On Demand
Webcast
March 15, 2019

Private Equity Update

Please join ACA Compliance Group's Vivek Pingili, Paul Schappell, and Phil Fijal on Friday, March 15th at 2 p.m. ET for a complimentary webcast focused on key regulatory trends and developments that private equity managers should consider in 2019.
On Demand
Webcast
March 14, 2019

California Consumer Privacy Act (CCPA): Are You on the Path to Compliance?

Join ACA’s Raj Bakhru, Alex Scheinman, and Paul Schappell for a discussion on the current landscape of the California Consumer Privacy Act (CCPA). In this webcast, our speakers will discuss recent amendments to the regulation as well as timing of the California Attorney General’s draft implementation guidance.
On Demand