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Steering Compliance Through Market Volatility and Shifts
What you'll learn
The current U.S. political environment is unlike anything we've seen before, with fast-moving developments that make it challenging for investment advisers to keep pace. As markets and regulations shift rapidly, compliance issues can surface all at once—creating pressure to prioritize quickly and act decisively.
Join our experts as they discuss regulatory compliance challenges expected in 2025 and how firms should prepare. They will outline where firms should focus their compliance efforts, what can wait, and for how long.
Discussion topics
- Navigating the compliance implications of market volatility
- The SEC's operational changes
- Upcoming AML obligations for RIAs
Who should attend?
Compliance professionals and C-suite executives at U.S. investment adviser firms seeking to stay ahead of regulatory and market developments.
Register
Our speakers
- Joshua Broaded, Partner and Co-Head of Regulatory Compliance at ACA Group; former SEC examiner
- Roseanne Harford, Director of Thought Leadership at ACA Group U.S. Regulatory Consulting; formerly with the SEC, FCA, and the Committee of European Securities Regulators
- Kenny Clowers, Partner and Co-Head of Regulatory Compliance at ACA Group; former SEC examiner
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Our global team of regulatory compliance professionals includes former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers from prominent financial institutions and advisory firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.