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.
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
10 sessions | 30+ industry expert speakers | 800+ registrants
All sessions now available to watch on-demand.
Tune in on-demand to hear insightful sessions and engaging conversations from our recent thought leadership conference for financial firms with a UK/European presence. This virtual governance, risk, and compliance (GRC) focused event, which took place 8-10 March 2022, provided an overview of key regulatory and geopolitical challenges set to impact firms in 2022 and beyond.
Agenda at a glance:
- 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
May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.
The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.