ACA Compliance Group FREE Webcasts
07/14/2011 Chief Compliance Officer and General Counsel Supervisory Responsibility and Liability
Given the current spate of new regulations affecting investment advisers, private funds, and broker-dealers, the responsibility of Chief Compliance Officers (“CCOs”) with regard to implementing robust compliance programs and supervisory structures has never been greater. General Counsels (“GCs”) also have key duties in establishing an organization’s policies and ensuring compliance with applicable laws and regulations.
Read more...Of late, regulators, backed by new authorities and budgets, have been launching more thorough examinations and investigations, frequently naming CCOs in enforcement proceedings. Prospective clients are taking a closer look at supervisory controls as well as part of their due diligence. All of this points to a need for organizations to make sure their legal and compliance structures are optimal.
To that end, please sign up for a complimentary archived webcast presentation of CCO and GC supervisory responsibilities. Topics to be covered include
- the regulatory obligations of CCOs and GCs;
- the benefits achieved from combining legal and compliance functions and titles;
- the risk associated with a GC serving as CCO;
- the internal and external reporting obligations for CCOs and GCs;
- the impact of the SEC’s recent whistleblower rulemaking and the United States Sentencing Commission’s Federal Sentencing Guidelines; and
- privilege issues related to books, records, and documentation.
In addition, participants will learn about SEC and FINRA examination trends and relevant enforcement actions. Of particular note will be an SEC Administrative Law Judge’s recent controversial decision (currently under appeal to the SEC) in which a broker-dealer’s general counsel was deemed to be a supervisor.
Featured Speakers:
- Barry P. Schwartz: Partner, ACA Compliance Group
- Brian L. Rubin: Partner, Sutherland Asbill & Brennan LLP
Please email webcastinfo@acacompliancegroup.com to reserve a free copy of this webcast.
04/19/2010 Conducting Expert Due Diligence on Third-Party Investment Managers
Investment advisers, wealth managers, and even alternative funds are turning increasingly to third-party investment managers to handle client assets. Consequently, the stakes have never been higher for these managers to conduct proper operational and compliance due diligence. Clients are more inquisitive and demanding regarding research quality. Regulators test investment adviser descriptions of due diligence efforts against the actual process performed, with deficiency letters and enforcement actions in the offing for those failing to meet compliance standards.
Read more...Please join us for a complimentary webcast discussing best practices for conducting due diligence on third-party investment managers. Topics the webcast will cover include
- identifying conflicts of interest,
- analyzing risk management practices,
- evaluating compliance program strength,
- performing initial due diligence versus ongoing monitoring, and
- 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
Please email webcastinfo@acacompliancegroup.com to reserve a free copy of this webcast.
05/12/2009 Registration with the SEC - What Will it Entail for My Hedge Fund?
SEC Chairman Mary Schapiro advocates aggressive SEC efforts to protect investors from unscrupulous activities. One item high on her agenda is greater oversight of private funds (e.g., hedge funds) and their managers. Over the past few months, several large hedge funds have blown up, often because of failed Ponzi schemes or other illegal activities. Investor cries for protection have not gone unheard at the SEC. It is only a matter of time before the private fund industry experiences some type of regulation. More than likely, this will involve SEC registration. It could also mean additional oversight for any private fund managers deemed indispensible to the U.S. financial system.
Read more...Among other things, this SEC registration webcast will address
- the current outlook on private fund manager registration in the U.S.;
- an overview of the SEC registration process, including information on the timing and costs associated with registration;
- SEC inspection basics; and
- ACA’s compliance solutions for private fund managers.
Participants will also learn about SEC examination trends, recent enforcement actions and the latest techniques for spotting operational and compliance red flags.
Featured Speaker:
- Jeff Morton: Partner, ACA Compliance Group
Please email webcastinfo@acacompliancegroup.com to reserve a free copy of this webcast.
06/16/2009 Variable Products Sales Practices - What to Expect in Today’s Economic Climate
Regulators have ramped up efforts to protect variable insurance product (VIP) investors from unscrupulous sales practices. This webcast will address VIP regulatory hot button issues, key sales practice challenges that affect distributors and insurance carriers, and FINRA Rule 2821. Participants will also hear about recent enforcement cases, VIP trends, and operational and red flag identification strategies.
Read more...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 email webcastinfo@acacompliancegroup.com to reserve a free copy of this webcast.