ACA Free Webcasts

4/19/10
Topic: Conducting Expert Due Diligence on Third-Party Investment Managers

Investment advisers, wealth managers, and even alternative funds are increasing turning to third-party investment managers to manage client assets.  However, the stakes have never been higher in conducting proper operational and compliance due diligence on these investment managers.  Clients have increased their inquires into the quality of the research performed.  Regulators are testing investment advisers’ descriptions of their due diligence efforts to the process they actually perform, with deficiency letters and enforcement actions resulting from non-compliance.

Please join us for a complimentary webcast discussing best practices for conducting due diligence on third-party investment managers.  Topics to be covered during the webcast include:

  • Identifying conflicts of interest
  • Analyzing risk management practices
  • Evaluating the strength of the compliance program
  • Performing initial due diligence versus ongoing monitoring
  • Creating and maintaining adequate documentation

Participants will also learn about SEC examination trends, recent enforcement actions and the latest techniques for spotting operational and compliance red flags.

Featured Speakers:

Scott Welch
Senior Managing Director
Fortigent, LLC

Barry Schwartz
Partner
ACA Compliance Group

As always, our expert speakers will stand ready to answer your questions.

Register now for this complimentary webcast as space is limited to 100 participants.  Please contact Sue Parsons at sparsons@acacompliancegroup.com to reserve a free copy of this webcast.

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5/12/09
Topic: Registration with the SEC-What Will it Entail for My Hedge Fund?

SEC Chairman Mary Schapiro has been advocating an aggressive plan for the SEC in its efforts to protect investors from unscrupulous activities in today’s economic climate. One of the items that is high on her agenda is greater oversight of private funds (e.g., hedge funds) and their managers. Over the past few months, we have witnessed the blow up of large hedge funds, often a result of failed ponzi schemes or other illegal activities. The cries by investors for protection have not gone unheard by the SEC. It is now just a matter of time before some type of regulation will be imposed on the private fund industry. More than likely, this will mean registration with the SEC. It could also mean even more oversight for certain private funds managers that are deemed systemically important to the U.S. financial system.

Among other things, this webcast will address:

  • The current outlook on private fund manager registration in the U.S.
  • Overview of the SEC registration process, including information on the timing and costs associated with registration
  • SEC inspection basics
  • ACA’s compliance solutions for private fund managers

Featured Speaker:

Jeff Morton, Partner, ACA Compliance Group

Please contact Sue Parsons at sparsons@acacompliancegroup.com to reserve a free copy of this webcast.

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6/16/09
Topic: Variable Products Sales Practices-What to Expect in Today’s Economic Climate

Don’t let your guard down! Although the economic outlook still looks bleak and financial services firms continue to operate with thin margins, reduced staff levels, and further budget cuts, regulators have ramped up efforts to protect variable product investors from unscrupulous sales practices with more regulation, continued joint examination forces and dialog, and more enforcement action. This webcast will address VIP regulatory hot button issues, key sales practice challenges that impact both distributors and insurance carriers, and FINRA Rule 2821. Participants will also hear about recent enforcement cases and trends involving variable products in addition to operational and red flag identification strategies.

Featured Speakers:

Chris Sprague, VP and Corporate Counsel
Prudential Insurance Company of America

Susan Carosi, VP Compliance
Prudential Financial

Kathleen Ujvari, Principal Consultant
ACA Compliance Group

Please contact Sue Parsons at sparsons@acacompliancegroup.com to reserve a free copy of this webcast.

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