COMPLIANCE EDUCATION

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

Surveys

2008 Investment Management Compliance Testing Survey Report

2007 Investment Management Compliance Testing Survey Report

Mutual Fund Annual Compliance Review Survey 2007

Compliance Newsletter

IM 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.iminsightnews.com, which features a searchable archive of past articles; and
• Breaking news e-mails.
  

Click here to subscribe to IM Insight.

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.

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.

2007 Compliance Testing Survey Webcast

ACA Compliance Group, the Investment Adviser Association, IM Insight, and Amy Yuter of Old Mutual (US) Holdings Inc. recently conducted a groundbreaking survey focusing on compliance testing techniques in the investment management industry. Based on responses by more than 450 CCOs and compliance professionals, the results provide a comprehensive picture of best practices in the investment management industry.

We invite all those who participated in the survey to join us in a free webcast on Monday, June 18 from 1:00 PM EST to 2:00 PM. The webcast presenters, Karen Barr of the Investment Adviser Association and Jeff Morton of ACA Compliance Group will summarize the results of the survey, providing insight about industry best practices, emerging trends, and hot issues. In addition, they will discuss best practice tips for communicating details about your testing program to regulators.

To participate in the webcast, please click here to register.

Document Request List

Download the Document Request List in PDF Format

SEC Supplemental Initial Request List

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

Upcoming Events:

Jan. 13 – 15 2009: Dallas Roadshow

Feb. 23 – 25 2009: Wash, DC Roadshow

April 6 – 8 2009: Chicago Roadshow

June 9 – 11 2009: Boston Roadshow

Nov. 9 – 12 2009: Los Angeles Roadshow