ACA NEWS & EVENTS
COMPLIANCE ALERTS
ACA places a high priority on disseminating accurate, valuable information to help advisers stay up to date on compliance issues. Please email info@acacompliancegroup.com if you would like to receive future alerts free of charge.
This Spring’s Regulatory Activity…the Relative Calm before the Storm? - May 1 2009
SEC Warns Mutual Funds of Requiring Oversight in AML Programs - March 2009
Extended MA Data Security Deadline and Recent Observations regarding SEC Examinations - March 2009
New FINRA Rules Became Effective on February 17, 2009 - February 2009
State Privacy Rules and Part II of Form ADV - Novemeber 2008
Regulatory Focus On Securities Lending - November 2008
Short Selling Filing Requirements, Prohibitions and Frequently Asked Questions - September 2008
SEC's New and Proposed Short Selling Initiatives - September 2008
OCIE and Other Regulators Sent Into Action to Review Rumors - July 2008
Has the New Nationwide SEC Document Request List Arrived? - July 2008
SEC “Springing” Into Action on Several Fronts - March 2008
New Comprehensive SEC Document Request List - August 2007
New York Regional Office Examination Staff Interviews on the Rise - May 2007
SEC Staff Cautions Firms to Beware of Imposters - May 2007
Soft Dollar Reminder – December 2006
SEC Announces Proposals Impacting Hedge Funds – December 2006
Associate Regional Director in the SEC’s Northeast Regional Office Discusses Exam Program Changes – December 2006
SEC Increases Scrutiny of Insider Trading at Hedge Funds – October 2006
AIMA Issues Guidance on Side Letter Disclosures – October 2006
E-COFFEEHOUSE
Pull up a chair, grab your latte, espresso, or good old cup of joe, and dive on in. ACA experts hang out in the E-Coffeehouse after the webcasts to discuss questions raised during the presentations and follow-up topics.
Click here to enter the E-Coffeehouse.
RECENT SPEAKING ENGAGMENTS
Click on the month to view the speaking engagements during that period.
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SEC DOCUMENT REQUEST LIST
Click here to download the SEC Document Request List in PDF format.