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.
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 RSVP Please join us for a … Continue reading
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 On June 3, ACA will offer a broker-dealer and investment adviser focused seminar for in-house counsel and compliance … Continue reading