Compliance Induction - 14 April 2021
This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.
Online Training
ACA Conferences
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.S. Spring 2021 Virtual Conference | Navigating the Future of GRC Through Market Transformation
May 18-20
Join us online for 3 days of insightful discussions that will focus on how GRC professionals can reimagine, innovate, and strengthen their programs using the latest industry insights, peer perspectives, and best practices while achieving better outcomes and economies of scale.
Agenda at a glance
With carefully curated sessions covering various topics in compliance, performance, cybersecurity, ESG, and regulatory technology, you can flow between sessions to design a personalized experience.
Below are just a few of the sessions you can experience at the conference:
- Compliance Considerations Related to Recent Social Media-Driven Volatility
- M&A Implications and Considerations for Risk Management
- Developments in Digital Assets
- Unpacking the SEC’s New Marketing Rule
- Considerations for Digitizing Your Compliance Program to Meet Regulatory Priorities
- FINRA IRR Requirement and the 2020 GIPS® Standards for Alternative Managers
- A Primer on ESG Program Development
- Decentralized Finance, Crypto, and Innovation
- Building a Regulatory-Compliant Cyber Program in an Age of RiskMutation™
- Portfolio Oversight: Cyber, Privacy, and ESG
- Breakout sessions on regulatory technology best practices for marketing reviews, conflicts of interest, surveillance, side letter management, and more
View the complete agenda here.
ACA will apply for CPE and CLE credits in select states.
U.K./Europe Regulatory Horizon 2021 | Navigating Evolving Risks: On Demand
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.
Agenda preview:
- 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
News
Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform
Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.
We Are Now ACA Group
This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.
Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks
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.
Upcoming events
Money Laundering Reporting Officer: The Role and Responsibilities - 12 May 2021
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.
Online Training
Compliance Officer: The Role and Responsibilities - 13 May 2021
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.
Online Training