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 Awareness Training

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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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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Foreign Corrupt Practice Act Basics

During the course, we'll cover:

  • An explanation of the Foreign Corrupt Practice Act (“FCPA”)
  • Familiarity with FCPA’s accounting and record keeping requirements
  • Key risk areas relevant to asset management
  • Various red flags that suggest corruption risk
  • And more

Length: 45 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff

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Anti-Money Laundering and Counter Terrorism Financing Awareness

During the course, we'll cover:

  • An explanation of money laundering and terrorism financing
  • How regulations and sanctions impact firms in the financial industry
  • How conducting business globally creates additional AML risks and how to mitigate them
  • Suspicious activity red flags and other tips employees should understand to protect your firm’s reputation
  • And more

Length: 45 min, Self-Led Training

Number of Staff: Unlimited

Who is this for? All staff

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GRC online training modules

ACA Webcasts

Webcast
November 10, 2020

The Value of GIPS Compliance: 2020 OCIO Survey Results

ACA Compliance Group and Curcio Webb recently conducted an industry survey focusing on the value of GIPS® compliance in the OCIO space. Please join us November 10 as we discuss the results of the survey and decipher the implications and challenges for OCIOs. In this panel discussion, we will address how to best navigate the next steps in marketing performance and distinguishing yourselves in the OCIO marketplace.
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Webcast
October 27, 2020

Consultant's Corner: Concerns and Considerations for Real Estate Advisers

Tune in Tuesday, October 27 at 11 am ET for a 30-minute Consultant's Corner webcast with ACA Compliance Group’s Erika Chua, Director and Ken Harman, Senior Principal Consultant as we discuss compliance challenges, concerns, and considerations for real estate compliance programs facing evolving business risks in the current regulatory environment.
On Demand
Webcast
September 22, 2020

Transaction Reporting: The Top Five Data Errors and How to Fix Them - A Focus on MiFIR

Analysis and industry benchmarking of the most common transaction reporting data errorsThe FCA continues to find serious and voluminous errors in transaction reports submitted under MiFIR article 26. Many firms lack the tools or expertise to identify those errors, and so have a growing problem which could lead to regulatory scrutiny or even enforcement action.
On Demand
Webcast
September 9, 2020

ACA's RegTech Solutions: What's New and Coming Soon

The COVID-19 pandemic has brought to the forefront the need for RegTech to increase efficiency, reduce costs, and provide deeper insights for effective risk-based compliance management. Join us for a live update of recent developments to ACA's RegTech platform that help our clients manage evolving risks, regulatory change, and business challenges effectively and efficiently.
On Demand
Webcast
September 3, 2020

Compliance Considerations for Credit Investors in the COVID-19 Market

The COVID-19 pandemic has caused global economic disruption that has simultaneously raised challenges and generated opportunities for those investing in the credit markets. Investment advisers with existing credit strategies have, in many cases, shifted their focus to distressed and special opportunities credit investing.
On Demand
Webcast
August 14, 2020

The State of Cybersecurity: Results from the 2020 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey

Join us when we discuss the results of this year's NSCP / ACA Aponix Cybersecurity Compliance Programs Survey, how these results compare with the results of previous surveys, and suggest steps for further action.
On Demand
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.
On Demand
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

ACA Training, Conferences, and Events

Training (London)
November 3, 2020

Financial Crime Prevention - 3 November 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)
November 5, 2020

Compliance Officer: The Role and Responsibilities - 5 November 2020

Course Overview:
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Training (London)
November 11, 2020

Senior Management Obligations under the SM&CR - 11 November 2020

Course Overview:
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Training (London)
November 12, 2020

Understanding the Conduct Rules - 12 November 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)
November 24, 2020

Compliance Induction - 24 November 2020

Course Overview:
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