Fall 2011 Compliance Conference

CPE & CLE Credits

ACA will apply for CLE credits in certain states and CPE credit.

Program Description

Hear from industry experts, leading attorneys, and experienced CCOs about the challenging compliance issues that firms face in our industry today. Our comprehensive multi-day program is designed to provide you with the most current information available on the ever-changing regulatory landscape and to help investment advisers and private fund managers understand what is necessary to develop and maintain a successful compliance program. The conference agenda focuses on issues geared towards investment advisers and private fund managers and is designed to address specific rules under the Investment Advisers Act of 1940 and other state and federal regulations, best practices, and challenges that confront compliance professionals.

Learning Objective

• Discover how recently adopted rules affect you
• Compare where your compliance program stands with the rest of the industry
• The conference covers key topics for investment advisers and private fund managers. Recognize the importance of strong internal controls in these areas.

ACA Compliance Group is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.

Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Web site: www.nasba.org.

Program Level: Intermediate

Pre-requisites: Knowledge of federal and state securities compliance rules and regulations

Advanced Preparation: None

Delivery Method: Group-Live

Earn up to 10 CPE Credits.

Refund/Cancellation Policy: Written cancellations received on or by August 29, 2011 will receive a refund, less a $100 administrative fee. No refunds will be given for cancellations made after August 29, 2011. No refunds will be given for “no shows”. You may send a substitute in lieu of the registered person. Cancellations will not be accepted over the telephone. You may send a written cancellation to Sue Parsons at sparsons@acacompliancegroup.com.

For more information regarding refund, complaint and program cancellation policies, please contact our Sue Parsons at sparsons@acacompliancegroup.com.