What you'll learn

    Is compliance keeping you up at night?

    Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily.

    Join us Tuesday, April 30th at 11am ET / 8am PT as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

    This session will cover:

    • Evolving regulation – new and updated rules and regulatory initiatives
    • SEC and State regulatory exams
    • Managing off-channel electronic communications
    • Advertising & Marketing – new rules, testimonials
    • Fees and billing – errors, deficiencies, proper disclosure

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    Our Speakers
    • Kerry Rider, Managing Director, ACA Wealth
    • Sarah Alderman, Director, ACA Wealth
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    You need solutions that meet your needs, fit your budget, and consider the complexity of your firm’s unique compliance requirements. 

    Our dedicated wealth manager practice, ACA Wealth, offers unmatched GRC experience and expertise for Wealth Management firms

    Gain peace of mind as you launch, grow, and protect your business with ACA.

    Contact us

    Our unique blend:

    Our regulatory compliance, managed services and technology paired with the expertise of ACA’s Wealth practice gives you access to full service GRC solutions that can grow with you and your firm.