The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Aponix® Protect helps firms address evolving cyber risks and threats to ensure that their cybersecurity needs are covered year-round. This solution is designed to provide firms with a flexible, robust, responsive, and cost-effective cybersecurity program.
Through our flexible multi-year program, we help you operate a strategic and right-sized cybersecurity program designed to:
- Keep your organization safe from ongoing cyber threats
- Meet evolving regulatory requirements
- Meet increasing investor expectations
Get access to ACA’s cyber, privacy and risk consultant base for testing, validation, and operational support for day-to-day cybersecurity coverage as well as the ability to quickly respond to future threats and regulatory changes.
How we support you
- Dedicated, single point of contact
- Multi-year, flexible and scalable program
- Right-sized and tailored to your organization
- Coordinated, proactive, and always on
- Pragmatic recommendations and advice
- Regular checkpoints
- Meet regulatory requirements
- Keep your firm safe from evolving cyber threats
Aponix Protect Base
The solution includes a core service package that is tailored and right-sized to your organization’s unique needs and requirements. For additional flexibility, you can purchase bolt-on modules of features that you can pick and choose from.
- Risk assessment
- Review and update security policies
- Staff training (including cyber awareness, phishing testing, and incident response tabletop exercises)
- Build and maintain multi-year cyber program roadmap
- Work with MSP to oversee/validate risk remediation activities
- News alerts
- Quarterly advisory conversation
- Monthly status updates
- Investor and insurer DDQ assistance
- Regulatory exam support
- On-demand help and advice
- Threat and vulnerability monitoring
- Program Build
- Targeted Assessments
- Testing & Validation
- A la Carte Features
May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.
The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.