conferences, training, and events

Conferences, Training, and Events

For compliance, risk, and technology professionals
 

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ACA offers several engaging, dynamic educational opportunities so that you and your staff stay informed on regulatory initiatives, GIPS® standards, and GRC industry topics.

SPOTLIGHT

Risk and Compliance Online Training Modules

 

Our online user-led training courses with trackable benchmarks and testing help ensure your staff are trained effectively to comply with new industry regulations such as GDPR and understand their role in protecting your firm against insider trading and cybersecurity risks.

Insider Trading Training (Free Until September 4)

During the course, we'll cover:

  • How to recognize material non-public information (MNPI)
  • How to identify common sources or situations involving MNPI
  • What steps you must take if you come into contact with MNPI
  • Practical guidance for handling MNPI to protect your firm’s reputation and yourself personally

This course includes embedded questions throughout the modules, as well as a scored, 12-question final exam for which completion and scores are recorded for review and regulatory records.

Length: 60 Min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff

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Online Cybersecurity Awareness Training

During the course, we'll cover:

  • Examples of phishing and vishing incidents
  • Examples of malware incidents to investment advisers
  • Key protections staff should know
  • And more

Length: 60 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff

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GDPR Awareness Training

During the course, we'll cover:

  • An overview of GDPR;
  • Personal data and special categories of data
  • Data protection ecosystem
  • And more

Length: 15 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff who work with personal data

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Sexual Harassment Prevention Training

During the course, we'll cover:

  • Sexual Harassment in the Workplace
  • Retaliation
  • Supervisors’ Responsibilities
  • What to Do if Harassed
  • Additional Protection and Remedies
  • Sexual Harassment Case Studies

Length: 40 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? This course is appropriate for all employees at any size firm within any industry. This course was designed to meet the New York State requirements and built based upon the New York State curriculum.

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GRC online training modules

ACA Webcasts

Webcast
August 5, 2020

Third-Party Risk Management Programs – Collaborating for Results

It is important to conduct third-party risk management to protect your company, but the process can be lengthy and time-consuming. This webcast will explore how your company can save valuable time and resources. Join us for a half hour discussion about how leveraging a clearinghouse model can improve the due diligence process.
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Webcast
July 28, 2020

Regulatory Spotlight: The Heightened Focus on Insider Trading and Market Abuse Due to COVID-19

COVID-19-related market volatility and risks posed by employees working from home have financial regulators on high alert across the globe. The SEC, FCA, SFC, and FINRA in recent months have all called out their continuing focus on detecting and punishing insider trading, market abuse, and other misconduct. Panelists will discuss topics including the recent regulatory notices on market abuse, why regulators are homing in on market abuse in this environment, and practical steps firms can take to...
On Demand
Webcast
July 22, 2020

Investment Company Act for New Fund Sponsors

The governance requirements of the Investment Company Act of 1940 can be lengthy and overwhelming. ACA's Erik Olsen, Managing Director, and Chris Kemp, Senior Principal Consultant, will break down the governance requirements of registered funds and business development companies.
On Demand
Webcast
July 14, 2020

EMIR Refit: Reporting Checklist

Are you aware of how the latest requirements impact on your transaction reporting obligations? The most recent phase of the amended European Market Infrastructure Regulation (“EMIR REFIT” or simply “REFIT”) came into effect on 18 June 2020. These latest requirements are designed to simplify a derivatives regime currently seen as burdensome to some market participants, particularly those whose risk profile is unlikely to impact macro stability.
On Demand
Webcast
July 8, 2020

Sustainable Finance Disclosure Regulation: Challenges, Pitfalls and Developing a Roadmap

By March of next year, many financial services firms will need to publicly disclose the extent to which they integrate sustainability risks as factors into their investment decision/advisory processes.
On Demand
Webcast
June 30, 2020

Moving Towards the “Now” Normal Work Environment

Over the past two-plus months firms have navigated through new work-from-home environments as a result of the novel COVID virus. But what does the work environment look like as cities and states look to lift stay-at-home orders?
On Demand
Webcast
June 25, 2020

2020 Investment Management Compliance Testing Survey Results Webcast

ACA Compliance Group, the Investment Adviser Association, and BrightSphere Investment Group invite you to join our live webcast discussing the results of the 2020 Investment Management Compliance Testing Survey on June 25 at 1:00PM ET.
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Webcast
June 16, 2020

Data Privacy Considerations for the Next Phase of CCPA and COVID-19

With the July 1, 2020 CCPA enforcement date quickly approaching and the ongoing privacy risks associated with the COVID-19 pandemic, privacy is a top concern for many firms. Join us June 16, 2020 when we discuss the landscape of privacy regulation in the U.S. and offer guidance to preserve the health and data privacy of employees as preparations are made to return to the office.
On Demand
Webcast
June 9, 2020

Are You Ready for Regulation Best Interest?

The June 30, 2020 compliance date for Regulation Best Interest (“Reg BI”) and Form CRS is fast approaching. Both the SEC and FINRA have stated they will conduct examinations after the compliance date that will focus on whether a broker-dealer has made a “good faith” effort to comply with the new regulations.Will your firm be ready?
On Demand

ACA Training, Conferences, and Events

Training (London)
August 11, 2020

Understanding the Conduct Rules - 11 August 2020

Course Overview:The Conduct Rules lie at the heart of the Senior Managers and Certification Regime (SM&CR). Despite the turmoil and uncertainties caused by Covid-19, the FCA’s Business Plan for 2020-2021 states that:
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Training (London)
September 8, 2020

Financial Crime Prevention - 8 September 2020

Course Overview:This live and interactive course is ran virtually by on of our specialist trainers, and is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).
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Training (London)
September 10, 2020

Compliance Officer: The Role and Responsibilities - 10 September 2020

Course Overview:
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Training (London)
September 16, 2020

Senior Management Obligations under the SM&CR - 16 September 2020

Course Overview:
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Training (London)
September 18, 2020

Conduct Rules - Train the Trainer - 18 September 2020

Course Overview:This course is designed to help managers, supervisors and compliance staff to put together effective learning sessions so that they can help their teams understand the Conduct Rules in the context of their business and integrate the Conduct Rules into routine performance management.
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Training (London)
September 22, 2020

Compliance Induction - 22 September 2020

Course Overview:
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Training (London)
September 23, 2020

Understanding the Conduct Rules - 23 September 2020

Course Overview:The Conduct Rules lie at the heart of the Senior Managers and Certification Regime (SM&CR). Despite the turmoil and uncertainties caused by Covid-19, the FCA’s Business Plan for 2020-2021 states that:
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Training (London)
October 14, 2020

Understanding the Conduct Rules - 14 October 2020

Course Overview:The Conduct Rules lie at the heart of the Senior Managers and Certification Regime (SM&CR). Despite the turmoil and uncertainties caused by Covid-19, the FCA’s Business Plan for 2020-2021 states that:
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