ACA NEWS & EVENTS
Mutual Fund Compliance Review Summary Report
Over the summer of 2006, ACA conducted a groundbreaking survey of compliance practices in the mutual fund industry. Based on responses by more than 100 CCOs and compliance professionals, the results provide a comprehensive picture of best practices in the mutual fund industry.
Click here to view the report.
COMPLIANCE ALERTS
ACA places a high priority on disseminating accurate, valuable information to help advisers stay up to date on compliance issues. Please email info@acacompliancegroup.com if you would like to receive future alerts free of charge.
SEC “Springing” Into Action on Several Fronts
New Comprehensive SEC Document Request List
Associate Regional Director in the SEC’s Northeast Regional Office Discusses Exam Program Changes – December 2006
SEC Announces Proposals Impacting Hedge Funds – December 2006
Soft Dollar Reminder – December 2006
AIMA Issues Guidance on Side Letter Disclosures – October 2006
SEC Increases Scrutiny of Insider Trading at Hedge Funds – October 2006
SEC Staff Cautions Firms to Beware of Imposters
New York Regional Office Examination Staff Interviews on the Rise
Has the New Nationwide SEC Document Request List Arrived?
OCIE and Other Regulators Sent Into Action to Review Rumors
E-COFFEEHOUSE
Pull up a chair, grab your latte, espresso, or good old cup of joe, and dive on in. ACA experts hang out in the E-Coffeehouse after the webcasts to discuss questions raised during the presentations and follow-up topics.
Click here to enter the E-Coffeehouse.
RECENT SPEAKING ENGAGMENTS
Click on the month to view the speaking engagements during that period.
- January
- |
- February
- |
- March
- |
- April
- |
- May
- |
- June
- |
- July
- |
- August
- September
- |
- October
- |
- November
- |
- December
SEC DOCUMENT REQUEST LIST
Click here to download the SEC Document Request List in PDF format.