Senior management in 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”.
Each year ACA 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.
U.K./Europe Regulatory Horizon 2021 | Navigating Evolving Risks: 2-4 March
Geopolitical tensions, macro-economic pressures and a global pandemic heralded sweeping changes to the ways financial services firms have operated over the past 12 months. This disruption is set to make the year ahead no less challenging as we navigate the future of risk and compliance and respond to rapidly evolving circumstances.
Join us for three days of insightful sessions and engaging conversations with compliance, cyber, regulatory technology, ESG and performance experts, leading lawyers, and industry practitioners. The agenda is designed to outline key challenges, developments, and priorities to consider as we look further into 2021.
This virtual conference is free to attend and will deliver all the insights of our in-person conference from the safety and comfort of your own home.
- UK Regulatory Regime Post-Brexit
- Are You Ready? ESG Regulatory Developments 2021 and Beyond
- Future of Risk and Compliance Programmes in an Age of RiskMutation™
- Outlook for the UK’s Investment Firm Prudential Regime (IFPR)
- LIBOR Transition: Almost There…
- Key issues for Private Markets Managers
- The GIPS® Standards and Performance, a Year in Review
- Lessons from the Trade and Transaction Reporting Frontline
- Tackling Regulations and Compliance Through RegTech
- Looking Ahead: A Review of FCA & SEC Priorities and What to Focus on in 2021
U.S. Spring 2021 Virtual Conference: May 18-20
ACA's virtual conference will deliver all the insights of our in-person conference from the safety and comfort of your own home. Join us for four days of insightful sessions and engaging conversations with compliance and performance experts, leading attorneys, and experienced senior professionals. Learn about a variety of topics relevant to these roles, including regulatory compliance, ESG, performance, regulatory technology, and cybersecurity.
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There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
Former global prime broker and industry consultant joins multi-award-winning regulatory hosting division
ACA Aponix selected as the winner of the Cybersecurity Technology Award by The DrawDown Private Equity Service Provider Awards.
Join us Thursday, March 11 at 11:00 am EST for a live webcast on FINRA Priorities and Hot Topics to learn more about how the recently released priorities may impact you and your compliance program.
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.