COMPLIANCE EDUCATION

ACA offers compliance education that is designed to instruct and reinforce the knowledge of compliance professionals.

Surveys

2009 Investment Management Compliance Testing Survey Summary Results

2008 Investment Management Compliance Testing Survey Report

2007 Investment Management Compliance Testing Survey Report

Mutual Fund Annual Compliance Review Survey 2007

Compliance Newsletter - ACA Insight

ACA Insight serves as every CCO’s invaluable SEC audit survival guide. This weekly newsletter keeps lawyers and compliance officers abreast of regulatory developments and industry practices affecting SEC-registered investment advisers, private funds, and mutual funds.

Subscribers receive:

46 electronic issues annually (each week's issue will be conveniently e-mailed to your desktop Friday afternoon);
Access to www.acainsight.com, which features a searchable archive of past articles; and
Breaking news e-mails.

Click here to subscribe to ACA Insight.

Live Monthly Compliance Webcasts

ACA’s live webcasts are short on banter and long on substance. Our expert speakers get down to business right away, delivering top-notch, take-home tips that you’ll be able to put to work at your firm. Questions are answered quickly and in real-time.

To enroll for future webcasts click here.

On Demand Compliance Webcasts

ACA offers access to archived webcasts. Browse our library of past webcasts and select topics that interest you most.

To view on demand compliance webcasts click here.

Document Request List

Download the Document Request List in PDF Format

SEC Supplemental Initial Request List

CCO Regional Roundtables

ACA hosts free compliance events for CCOs throughout the country. These regional events include discussions on current SEC focus areas.

Upcoming Events:

Chicago Roundtable with Sidley Austin LLP - July 22nd

New York Roundtable with Sidley Austin LLP - July 22nd