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

ACA GRC 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

During the course, we'll cover:

  • How to recognize material non-public information (MNPI)
  • Common sources or situations involving MNPI
  • Practical guidance to protect your firm’s reputation

Length: 35 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: 30 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
March 26, 2020

The 2020 GIPS Standards: Key Takeaways from the Explanation of the Provisions for Firms - Sections 1 and 3

Since the release of the 2020 Global Investment Performance Standards (GIPS®), the investment community has been anxiously awaiting the arrival of what was formerly known as the GIPS Handbook.
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Webcast
March 18, 2020

Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic

The rapid spread of coronavirus (COVID-19) has already had a broad range of impacts, and the situation appears likely to grow more challenging in the weeks ahead. On Wednesday, March 18 at 11 a.m. ET / 3 p.m. GMT we invite you to join ACA’s Carlo di Florio, Chief Global Services Officer, Mike Pappacena, Partner, ACA Aponix and Laurin Blumenthal Kleiman, Partner, Sidley Austin LLP for an interactive discussion about the challenges firms are...
On Demand
Webcast
March 10, 2020

FINRA Hot Topics 2020

On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. The letter’s format has changed to concentrate on new risk areas. Broker-dealer compliance personnel should consider both the new risk areas as well as the repeated focus areas in their compliance enhancements for 2020.
On Demand
Webcast
March 4, 2020

Coronavirus Preparedness: Re-visit Your Business Continuity Plans

Join us on Wednesday, March 4, 2020 at 11 a.m. ET  / 4 p.m. GMT for a 30-minute Q&A discussion about the common concerns firms may face in an effort to curb the coronavirus.
On Demand
Webcast
February 27, 2020

Form CRS: What Firms Need to Know

Is your firm prepared for the fast approaching Form CRS (Client Relationship Summary) deadline? This webcast will highlight the new delivery obligations and content requirements advisers should prepare when completing their Form CRS in advance of the June 30, 2020 compliance date. 
On Demand
Webcast
February 25, 2020

Preparing for Regulation Best Interest Compliance

Broker-dealers need to comply with Regulation Best Interest (Reg BI) by June 30, 2020. Will your firm be ready? Join us February 25, 2020 at 2pm ET when we will discuss how to comply with Reg BI and share experiences implementing the regulation's requirements. 
On Demand
Webcast
February 20, 2020

Performance Challenges and Solutions for OCIOs

The OCIO market has experienced significant growth over the last ten years. Assets under management represent nearly $2 trillion and are expected to reach almost $3 trillion over the next several years.* However, how much of that growth has been driven by the firm’s current clients switching from advisory to OCIO services?
On Demand
Webcast
January 28, 2020

Practical Guidance: The 2020 GIPS Standards for Asset Owners

The popularity and worldwide adoption of the Global Investment Performance Standards (GIPS®) by investment management firms is largely due to demand by asset owners. In the interest of risk management, asset owners increasingly require external investment managers to comply with the GIPS standards.  
On Demand
Webcast
January 22, 2020

SEC Examination Priorities and Focus Areas for 2020

Please join us Wednesday, January 22 at 11am ET for a live webcast discussion about the SEC’s 2020 examination priorities and what they may mean for you. 
On Demand

ACA Training, Conferences, and Events

Training (London)
March 31, 2020

Compliance Induction - 31 March 2020

Course Overview:
Book
Training (London)
April 21, 2020

Financial Crime Prevention - 21 April 2020

Course Overview:This course 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).
Book
Training (London)
April 23, 2020

Compliance Officer: The Role and Responsibilities - 23 April 2020

Course Overview:
Book
Training (London)
April 28, 2020

Compliance Induction - 28 April 2020

Course Overview:
Book
Training (London)
May 12, 2020

Financial Crime Prevention - 12 May 2020

Course Overview:This course 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).
Book
Training (London)
May 19, 2020

Compliance Induction - 19 May 2020

Course Overview:
Book
Training (London)
May 20, 2020

Senior Management Obligations under the SM&CR - 20 May 2020

Course Overview:
Book