11:30 a.m.

12:00 p.m. - Lunch

ACA will briefly discuss its history, personnel and compliance consulting services.

Damon Zappacosta, Director of Client Development

1:00 p.m.

Three break out sessions

Investment Advisers/Investment Companies

• Review of hot SEC focus areas related to investment advisers and • registered investment companies including: soft dollars, insider trading and valuation
• Summary of recent investment adviser and registered investment • company SEC enforcement actions
• Discussion on investment adviser and mutual fund compliance • best practices

Nick Prokos, Managing Director

Broker-Dealers

• Review of hot FINRA focus areas related to broker-dealers including: variable annuities, AML suspicious activity reporting and AML independent testing
• Common Deficiencies found during FINRA exams
• Discussion on broker-dealer compliance best practices

Leigh Vazquez, Managing Director

GIPS Compliance

• Review hedge fund returns and the impact of future guidance
• Presentation formats and the role of supplemental information
• Discussion on general advertising guidelines

Jason Millard, Director of Business Development

2:00 p.m.