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.

 

Executive Oversight of a GIPSĀ® Compliance Program (October 29, 2014)

Evidenced by several recent newsworthy SEC actions, regulatory scrutiny related to GIPS compliance and performance reporting is on the rise. As a result, oversight of a firm’s GIPS program is more important than ever. If GIPS compliance falls in your … Continue reading

 

The Philadelphia Compliance Roundtable (October 28, 2014)

Brandywine Managers, LLC, ACA Compliance Group, and Morgan Lewis Present the Philadelphia Compliance Roundtable Please join us for a roundtable designed to assist broker-dealer and investment adviser compliance professionals in dealing with current tough regulatory challenges. Our industry-knowledgeable panelists will … Continue reading

 

 

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