The UK Investment Firm Prudential Regime – Implementation and challenges of new rules
Join ACA and AIMA for a discussion of the upcoming UK Investment Firm Prudential Regime
Webcast
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. Fall 2021 Virtual Conference | Align New Regulatory Priorities with Your Compliance Roadmap
September 21-22
New regulatory leadership is setting new priorities and reinforcing others. Compliance, risk, performance, and technology leadership are constantly challenged to keep pace with the ever-evolving regulatory changes while finding their way through the pressures of geopolitical threats, economic crises, and third-party risks.
Our conference will explore what regulatory priorities, emerging risks, and industry trends lie ahead for the savvy compliance and risk professional and how to enhance your compliance program, thoughtfully prioritize your budget, and successfully navigate the new regulatory landscape.
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:
- Regulatory Priorities
- The Future of Your Compliance Program
- The Role of Compliance in Overseeing ESG
- Performance Hot Topics and Trends
- The Future of Electronic Communications Reviews
- Practical Implications of the New Marketing Rule
- Ransomware – How to Protect Yourself and What to Do if You’re a Victim
- The UK’s Investment Firm Prudential Regime
- Demo of ComplianceAlpha® Q3 Feature Release
- Using Technology and Outsourcing to Manage Conflicts of Interest
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.
Tune in on demand for 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.
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
ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering
The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.
ACA Group and the Investment Adviser Association Announce Strategic Partnership
ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.
ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels
ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.
Upcoming events
Compliance is Easier Than You Think: Claiming Compliance with 2020 GIPS® Standards for Alternative Investment Managers
ACA recently released a white paper series that covers those details managers need to know to claim compliance with the 2020 Global Investment Performance Standards. Join ACA for a webcast discussion to review how to claim compliance.
Webcast
Senior Management Obligations under the SM&CR - 30 September 2021
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).
Online Training