The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.
Each year ACA hosts and sponsors a number of conferences, presentations, and interactive panel debates led by top industry professionals. These provide compliance professionals with in-depth, content-rich discussions that address critically important topics, and help them stay current with, and function confidently in, a rapidly changing regulatory environment.
Regulatory Horizon 2022
Prepare for the Challenges of Tomorrow
When: 8-10 March 2022
What: Three-day virtual conference
Who: For financial firms with a UK/European based presence
Registration for our thought leadership conference for financial firms is now open. This free to attend online event is designed to provide an overview of key regulatory and geopolitical challenges set to impact firms in 2022 and beyond.
The event promises insightful sessions and engaging conversations with regulators, compliance, cyber, regulatory technology, regulatory hosting, ESG and performance experts, leading lawyers, and industry practitioners.
Agenda at a glance:
Our conference will cover the following hot topics:
- Finding Stability in an Unpredictable World
- The Benefits of an Integrated Surveillance Solution
- Transaction Reporting: Man vs. Machine
- Emerging Trends in the Cyber Threat Landscape
- The SEC's New Marketing Rule: All Change Please
- The Positioning of Private Markets Amid the Great Recovery
- The Dynamic Future of Regulatory Hosting
- The Application of an Integrated Surveillance Solution - A RegTech Demo
- ESG Regulation: What's Next?
- Looking Ahead: A Review of FCA & SEC Priorities and what to Focus on in 2022
ACA Group announced today that ACA Aponix® is the recipient of the Accounting/Due Diligence Firm of the Year in the 20th Annual M&A Advisor Awards. The M&A Advisor Awards are the benchmark for dealmaking excellence, recognizing the leading M&A Transactions, Restructurings, Deal Financings, Product/ Services, Firms, and Professionals.
ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
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 Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play 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. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.