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.
Join ACA for a discussion on the current landscape of Microsoft Office 365 and tactics to better protect against security threats.
Join ACA for a discussion about how the 2020 GIPS Standards may impact your firm.
Join ACA for a discussion about the most common compliance failings for UK firms and how to avoid them.
Join ACA as we discuss the interplay between compliance and finance/operations for private fund managers.
Join ACA for a discussion about the Senior Managers & Certification Regime (SM&CR) and why making senior management and staff aware of the implications, allocating prescribed responsibilities and getting the certification regime figured out is proving a big challenge.
Join ACA for an introduction to the world of registered funds and the complexities that a new sub-adviser will need to be aware of when managing a fund.
Join ACA as we discuss the differences between the structure and philosophy of the SEC and FCA, key compliance areas of divergence and how to best implement and manage a dual regulatory compliance program.