Join ACA for a discussion on best practices in forensic testing, including electronic communications reviews and trade surveillance.
Join ACA for a discussion on the types of sanctions and money laundering risks assets managers face and best industry practices to mitigate those risks.
Join ACA as we discuss performance reporting challenges for hedge fund managers.
Join ACA for a discussion on the final changes to the CCPA and how firms can prepare for the January 1, 2020 effective date.
Join ACA for a webcast about the challenges faced by Internal Audit departments in Financial Institutions.
Join ACA for a discussion on key cyber risks, trends, and regulatory expectations for investment advisers.
Join ACA as we discuss the oversight of mutual fund distribution activities when dealing with current regulatory requirements.
Join ACA as we break down the requirements of Regulation Best Interest (Reg BI) regulation and what it means for broker dealers.
Join ACA to learn more about navigating the provisions of Rule 15a-6 and best practices that you should consider.
Join ACA as we explore the best practices and lessons learned in code of ethics monitoring and personal trade surveillance as well as looking at the future of RegTech in this area.