ACA Chief Compliance Officer: Roundtables

ACA hosts free compliance events across the country for chief compliance officers from broker-dealers, investment advisers, hedge funds, private equity funds, and investment companies, among others. These regional events include discussions on current SEC focus areas.

 

Managing ’40 Act Funds: A legal and compliance workshop for alternative investment managers – Session 1 (April 23, 2014)

Date: April 23, 2014 Time: 8 a.m. to 10:30 a.m. Location: Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022 2nd Floor Speaker: Don Delano About the program: Following a successful January 2014 seminar on managing ’40 Act … Continue reading

 

Markit and ACA Performance Services explore GIPS® compliance for credit asset managers (April 30, 2014)

Time: Wednesday April 30, 2014 8:30 a.m.    Registration 9:00 a.m.    Presentation 10:30 a.m.  Networking Location: Harvard Club of New York 35 West 44th Street New York, NY 10036 Sponsors: ACA Compliance Group and Markit RSVP Please note Markit … Continue reading

 

ACA Compliance Group and Sutherland present Atlanta Compliance Roundtable (April 30, 2014)

Time: Wednesday April 30, 2014 3:00 p.m. – 5:30 p.m. Cocktail reception to follow. Location: Sutherland 999 Peachtree Street NE #2300 Atlanta, GA Sponsors: ACA Compliance Group and Sutherland RSVP Description: Join us in Atlanta on April 30, 2014 for … Continue reading

 

Mutual Fund Distributor Roundtable in Boston (April 30, 2014)

Title: Mutual Fund Distributor Roundtable in Boston Time: 8:30 a.m. – 11:00 a.m. Date: April 30, 2014 Co-sponsored by: ACA Compliance Group and K&L Gates Location: Offices of K&L Gates, State Street Financial Center, One Lincoln St, Boston, MA RSVP … Continue reading

 

Boston Investment Adviser Compliance Roundtable (May 7, 2014)

Time: Wednesday May 7, 2014 8:30 a.m. – 12:00 p.m.* Continental Breakfast will be served. Location: Bingham McCutchen LLP One Federal Street 13th Floor Boston, MA 02110 Sponsors: ACA Compliance Group Bingham McCutchen LLP RSVP Description: Please join us on … Continue reading

 

New York City Broker-Dealer Roundtable (May 13, 2014)

Title: New York City Broker-Dealer Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: May 13, 2014 Co-sponsored by: ACA Compliance Group and Sidley Austin LLP: Location: Offices of Sidley Austin LLP at 787 Seventh Avenue, New York, NY 10019 RSVP … Continue reading

 

Chicago Event: Are You Properly Claiming Compliance with the GIPS® Standards? (May 14, 2014)

Time: Wednesday May 14, 2014 3:00 p.m. – 5:00 p.m. (Cocktail reception to follow) Location: The Metropolitan Club The Willis Tower 233 South Wacker Drive Chicago, Illinois 60606 RSVP Description: ACA Performance Services invites you to attend the complimentary event … Continue reading

 

Boston Event: Are You Properly Claiming Compliance with the GIPS® Standards? (May 15, 2014)

Time: Thursday May 15, 2014 3:00 p.m. – 5:00 p.m. (Cocktail reception to follow) Location: Langham Hotel Boston 250 Franklin Street Boston, MA 02110 RSVP Description: ACA Performance Services invites you to attend the complimentary event “Are you Properly Claiming … Continue reading

 

Denver Broker-Dealer and Investment Adviser Roundtable (May 22, 2014)

Title: Denver Broker-Dealer and Investment Adviser Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: May 22, 2014 Co-sponsored by: ACA Compliance Group, Morrison & Foerster, and ALPS Location: Marriott Denver City Center, 1701 California St., Denver, CO  80202 On May … Continue reading

 

St. Louis Broker-Dealer and Investment Adviser Roundtable (September 30, 2014)

Title: St. Louis Broker-Dealer and Investment Adviser Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: September 30, 2014 Co-sponsored by: ACA Compliance Group and Sidley Austin LLP On June 3, ACA and Sidley Austin LLP will offer a broker-dealer and … Continue reading

 

Houston Broker-Dealer Roundtable (June 17, 2014)

Title: Houston Broker-Dealer Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: June 17, 2014 Co-sponsored by: ACA Compliance Group, Bryan Cave, Global Relay and ExamFX On June 17, ACA, Bryan Cave, Global Relay and ExamFX will offer a broker-dealer focused … Continue reading

 

Chicago Broker-Dealer Roundtable (June 24, 2014)

Title: Chicago Broker-Dealer Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: June 24, 2014 Co-sponsored by: ACA Compliance Group and Ulmer Berne Location: Offices of Ulmer Berne, 500 West Madison St, Chicago, IL 60661 On June 24, ACA and Ulmer … Continue reading

 

Columbus Broker-Dealer Roundtable (July 15, 2014)

Title: Columbus Broker-Dealer Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: July 15, 2014 Co-sponsored by:  ACA Compliance Group. Bryan Cave, Global Relay and ExamFX On July 15, ACA, Bryan Cave, Global Relay and ExamFX will offer a broker-dealer focused … Continue reading

 

Minneapolis Broker-Dealer and Investment Adviser Roundtable (July 29, 2014)

Title: Minneapolis Broker-Dealer and Investment Adviser Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: July 29, 2014 Co-sponsored by: ACA Compliance Group and Faegre Baker Daniels Location: Faegre Baker Daniels Office at 2200 Wells Fargo Center, 90 S. Seventh Street, … Continue reading

 

Kansas City Broker-Dealer Roundtable (August 5, 2014)

Title: Kansas City Broker-Dealer Roundtable Time: 8:30 a.m. – 11:30 a.m. Date: August 5, 2014 Co-sponsored by:  ACA Compliance Group. Bryan Cave, Global Relay and ExamFX Location: ExamFX, 11161 Overbrook Road, Leawood, KS 66211 On August 5, ACA, Bryan Cave, … Continue reading

 

 

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