What You Will Learn

    Learn how research and compliance teams are using AI to manage material non-public information (MNPI) risks, off-channel communications, and audit readiness. Hear real-world insights from practitioners and ACA experts as they share their experiences and lessons learned from integrating AI into their workflows.

    The session also includes a live demo of ACA’s Research Compliance Solutions platform, powered by Encore AI, showcasing how it captures research conversations, detects risk in real time, and applies firm-specific policies to deliver the oversight teams need to stay ahead.

    Whether you're refining your oversight strategy or exploring AI-powered tools, this webcast will deliver a clear view of how firms are future-proofing their operations.

    Discussion Topics:

    • Using AI to help research and compliance teams manage MNPI and off-channel risks
    • Driving efficiency, oversight, and audit readiness through AI
    • Integrating AI into daily workflows: lessons learned
    • Applying ACA’s platform in practice: client stories and takeaways
    • Ensuring explainability and transparency of AI decisions for regulators and investors

     

    All webcasts are recorded and will be sent to registrants following the live broadcast.

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    Our Speakers
    • Scott DePetris , Senior Managing Director, ACA Group
    • Aaron Keller, Partner, CFO, COO, CCO, Electron Capital Partners LLC
    • Brendan Kelleher, Chief Compliance Officer, SoftBank
    • Jeff Lamanna, Deputy Chief Compliance Officer, B Capital
    • Art Murphy, Sr. Director, Specialty Sales, ACA Group
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    ACA's Managed Services team provide specialized solutions to support day-to-day compliance requirements. Many of these solutions can be paired with highly efficient modules in ACA ComplianceAlpha®, our award-winning compliance program management platform for financial services firms. This integrates risk and compliance management activities, trade surveillance and monitoring, compliance program testing, and in-depth analytics to help risk and compliance officers simplify and streamline their compliance management responsibilities. We can also work within other workflow platforms and processes to best fit our client's needs.

     

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

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    Our unique blend:

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.