What You Will Learn

    As year-end approaches, broker-dealers face a range of compliance, supervisory, registration, financial reporting, and operational requirements that need coordinated planning and oversight. This webcast provides a practical overview of common year-end obligations and key areas of focus for the 2026 close and 2027 planning cycle.

    ACA and industry compliance leaders will discuss practical approaches to assessing applicability, assigning ownership, and retaining evidence of completion across key year-end requirements.

    The discussion will cover supervisory controls and CEO certifications, AML testing, registration and continuing education, financial reporting, branch inspections, cybersecurity, privacy, and vendor oversight.

    Discussion Topics:

    • Supervisory controls and CEO certifications
    • AML testing, registration, and continuing education
    • Financial reporting and branch inspection requirements
    • Cybersecurity, privacy, and vendor oversight
    • Year-end compliance planning, including applicability, ownership, and evidence of completion

     

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

    Register for the Webcast
    Our Speakers
    • Tom Grygiel, Senior Principal Consultant, ACA Group
    • Laura Crosby-Brown, Director, ACA Group
    • Jeff Schwartz, Chief Compliance Officer, KKR
    • Kevin Casey, Chief Compliance Officer, Leerink
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    ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. For over 20 years, we’ve empowered our clients to reimagine GRC to launch, grow, and protect their business. Our global team of 1,700+ employees include former regulators and practitioners with a deep understanding of the regulatory landscape. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® technology platform. For more information, visit www.acaglobal.com.