Join ACA Group’s Guy Talarico, John Vekich, and Craig Moreshead for a live discussion about the role of the Outsourced Chief Compliance Officer (OCCO) and how it can help your firm mitigate risks, while providing independent best practices from the leading GRC firm in the U.S.
We will discuss how to identify the right Managed Service Providers to fit your firm's strategy, and understand the effectiveness of the MSPs your firm works with.
We will discuss the concept of operational resilience, how it relates to business continuity planning, disaster recovery, and incident response, and what it means for the future of cyber programs.
Join us for a demo of our new Control Room solution designed to help manage the flow of Material Non-Public Information (MNPI) across your organization.
Financial services providers that hold or control client money or assets must follow specific rules outlined in the Financial Conduct Authority’s (FCA) Clients Assets Sourcebook (CASS). This course is specifically designed to assist teams in dealing with client money audits and the client assets report, as well as helping them stay up to date with statutory and regulatory obligations in this complicated area.
Financial promotions and marketing rules is a complicated area. This course is designed to help all staff – especially marketing and investor relations teams – understand their financial promotions requirements and stay up to date with their statutory and regulatory obligations
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.