What You Will Learn

    Expanding into the U.S. market often requires firms to evaluate whether SEC registration is necessary. Understanding the distinction between Exempt Reporting Adviser (ERA) status and full registration as a Registered Investment Adviser (RIA) is key to making informed, compliant decisions.

    Watch our on-demand webcast for a practical overview of SEC registration frameworks, including key triggers, ongoing obligations, and what firms should consider when establishing a U.S. regulatory footprint. Led by two former SEC staff members, the session will also explore the SEC examination process, helping firms understand what to expect and how to prepare.

    What We’ll Cover:

    • What are the key differences between ERA and RIA status, and how do firms determine which applies?  
    • What triggers SEC registration, including Assets Under Management (AUM) thresholds and available exemptions?  
    •  What should firms expect from an SEC examination, and how can they prepare? How can firms build and maintain an effective compliance framework?  

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

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    Our Speakers
    • Abi Loughnane, Senior Principal Consultant, UK Regulatory Advisory, ACA Group
    • Mike Beeson, Director, U.S. Regulatory Advisory and Head of London-Based SEC Desk, ACA Group
    • Robert Baker, Managing Director and Co-Lead, SEC Mock Examinations Team, ACA Group
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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 1,300+ 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.  

    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.