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.
ACA Compliance Group, Bryan Cave, ExamFX, and Global Relay present the Charlotte Compliance Workshop for Broker-Dealers and Investment Advisers Please join us for a complimentary workshop focused on helping broker-dealer and investment adviser compliance professionals deal with today’s tough regulatory … Continue reading
Save the Date – October 2, 2014 New York City Compliance Officer Roundtable Series Cybersecurity keeping you up at night? Can’t stop thinking about how to deter hacking attacks? Confused about regulators’ expectations for your cybersecurity program? You’re not alone. … Continue reading
Location: The Westbury Hotel Bond Street Mayfair, London, W1S 2YF Speakers: Justin Guthrie, CFA Managing Partner ACA Performance Services Colin Morrison Founder Paradigm Investment Consulting Karyn Vincent, CFA, CIPM Managing Partner ACA Performance Services RSVP To mark ACA Compliance Group’s … Continue reading
Date: October 28, 2014 Time: 8:30 a.m. to 12:00 p.m. Location: Morgan Lewis, 1701 Market St, Philadelphia, PA 19103 Co-sponsored by: ACA Compliance Group and Morgan Lewis On October 28, 2014, ACA will again co-host the Philadelphia Compliance Roundtable with … Continue reading
Title: St. Louis Broker-Dealer and Investment Adviser Roundtable Time: 12:30 p.m. – 4:00 p.m. Date: September 30, 2014 Co-sponsored by: ACA Compliance Group, Bryan Cave, ExamFX, and Global Relay New Location: St. Louis Regional Chamber One Metropolitan Square 211 N. … Continue reading