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.

 

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 RSVP Please join us for a complimentary workshop focused on helping broker-dealer and investment adviser … 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 RSVP Please join us for a … 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

 

 

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