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As year-end approaches, broker-dealers face a range of compliance, supervisory, registration, financial reporting, and operational requirements that need coordinated planning and oversight. This webcast provides a practical overview of common year-end obligations and key areas of focus for the 2026 close and 2027 planning cycle.
ACA and industry compliance leaders will discuss practical approaches to assessing applicability, assigning ownership, and retaining evidence of completion across key year-end requirements. The discussion will cover supervisory controls and CEO certifications, AML testing, registration and continuing education, financial reporting, branch inspections, cybersecurity, privacy, and vendor oversight.
Discussion Topics
- Supervisory controls and CEO certifications
- AML testing, registration, and continuing education
- Financial reporting and branch inspection requirements
- Cybersecurity, privacy, and vendor oversight
- Year-end compliance planning, including applicability, ownership, and evidence of completion
Speakers
- Tom Grygiel, Senior Principal Consultant, ACA Group
- Laura Crosby-Brown, Director, ACA Group
- Jeff Schwartz, Chief Compliance Officer, KKR
- Kevin Casey, Chief Compliance Officer, Leerink