MiFID II – US Asset Managers Brace for Impact

Thursday, June 8, 2017 :: 2:00pm ET/1:00pm CT/12:00pm MT/11:00am PT/10:00am AT

Description of Webinar:

The original MiFID (Markets in Financial Instruments Directive) impacted UK and European firms, primarily on the sell side.  MiFID II, however, not only impacts the buy side, but it casts a wide net that catches any firm servicing clients in the Eurozone or marketing products there.   The effort involved in the new reporting requirements varies with the US Asset Manager’s involvement in the Eurozone, but unless your firm is US domestic only, you are likely to be affected.

Compliance professionals need to understand the changes taking place in the front, middle and back office as well as the potential impact to the systems that support them.  Regulations become final as of July 3rd, 2017 and all impacted firms must comply by January 3, 2018.

Join Jane Stabile, President of IMP Consulting, for an interactive discussion on what buy-side firms will need to do to prepare for MiFID II regulations.

This webinar is suited for operations, traders and compliance professionals who are looking for a high-level overview of the key trading requirements, expected impact on order flows, and the implications for US Asset Managers.

Attendees of this webinar will learn:

  • The degree to which MiFID II will impact US Asset Managers, depending upon how they conduct their business
  • The systems potentially impacted – from decision support tools, to trade OMS, and regulatory reporting
  • Key programs and policies impacted – from firm governance, to the interaction of internal compliance with other departments

Discussion of Results: NSCP / ACA Aponix Cyber Survey

Tuesday, June 20, 2017 :: 1:00pm ET/12:00pm CT/11:00pm MT/10:00am PT/9:00am AT

Description of Webinar:

ACA Aponix recently partnered with the National Society of Compliance Professionals (NSCP) to create a survey that would provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry. We are pleased to report that we received over 270 responses! The information we collected will be reviewed during this discussion.

Join Raj Bakhru, Partner at ACA Aponix as he discusses issues and trends raised in the survey which include the following topics:

  • Governance
  • Vendor Management
  • Technical Controls
  • Budgets
  • Breach Response

The New Normal: Business Continuity, Disaster Recovery, and Cybersecurity

Thursday, June 22, 2017 :: 1:00pm ET/12:00pm CT/11:00pm MT/10:00am PT/9:00am AT

Description of Webinar:

The SEC’s proposed Business Continuity Rule and continued focus on Cybersecurity is good reason to dust off your Firm’s BCP and DR plans. Hacking and Denial of Service must all be considered in a good, modern BC and DR plan. Join industry experts as they discuss how firms of all sizes can create, test, and update a plan that meets their needs and regulatory expectations.

Join Lyman Terni and Tim Villano of Artemis Infosec and Brad Drea of Los Angeles Capital Management, Inc. for an interactive discussion.

Attendees of this webinar will learn:

  • How to Keep a Plan Actionable and Fresh
  • How to Incorporate Cybersecurity and Incident Response into a BC/DR Plan
  • How to Leverage your Existing Teams and Structures in an Updated Plan
  • How to Conduct Regular, Meaningful Testing

NSCP Archived Webinars

You must be logged in to the Member Center to access the archived webinars.

  • Please login and then click the Resource Library tab in the Member Center to find the Webinar Archive folder.
  • Alternatively, if you are logged in, you can click here for the Webinar Archive.

Login to view our archived webinars for 2017

  • Managing Regulatory Relationships – Playing by the Regulator’s Rulebook
  • SEC Rule 17-h Risk Assessment and Recordkeeping Requirement
  • CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
  • Leave It to the States: Compliance and Registration Priorities for BDs/IAs
  • Ethical Decision Making – Recognizing Issues

Login to view our archived webinars for 2016

  • Trade Compliance Through the Lifecycle of a Trade
  • Last Chance: Impact of ERISA Fiduciary Regulation
  • MCDC Disclosure Obligations
  • Simplifying Regulatory Change Management by Leveraging Integrated Content and Technology
  • FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds
  • Final Look at DOL Fiduciary Proposal – A Game Changer
  • Blind Spots in Operational Risk Webinar
  • Who Is the New Twenty-first-Century CCO? Current Issues in CCO Liability
  • Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision Liability
  • Creating and Executing Effective, Customized Branch Examinations
  • The DOL Rule: What You Need to Know Now
  • Cybersecurity – Vendor Due Diligence
  • 5 Things Every Compliance Officer Should Know About Trade-Based Money Laundering Risks
  • CyberSecurity Risk Management Process – Evaluating Risks and Strengthening Governance

Login to view our archived webinars for 2015

  • Compliance Technology – Beyond the Hype – How to Reduce Risk & Gain Efficiency
  • CyberSecurity Risk Assessment for Investment Professionals
  • DOL Proposal on ERISA Fiduciary Status for Investment Advisers
  • How to Successfully Navigate State Investment Adviser Regulations
  • SEC Examination Priorities for Private Equity Firms – Fees and Expenses, Parts 1 and 2
  • Managing Investment Compliance: Best Practices in an Evolving Environment

2016 Broker-Dealer Best Practices Survey Results

Brought to you by ACA Compliance Group, NSCP, and RegEd