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).
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
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.
- 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
With less than six months to go until UK investment firms are subjected to a completely new prudential regime, a recent survey reveals that the industry is vastly underprepared. The data shows that just 4% of respondents are ready and capitalised for the FCA’s new Investment Firm Prudential Regime (IFPR) coming into effect in January 2022. Learn more about what this means for firms.
Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider
Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.
ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards
Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.
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”.
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.