ACA's Spring 2020 Compliance & Performance Conference The Westin Savannah Harbor Golf Resort & Spa

ACA Compliance Group's

Spring 2020 Compliance & Performance Conference
The Westin Savannah Harbor Golf Resort & Spa | May 6-8 | Savannah, GA
 

Register

Welcome

Experience the ACA Difference


 

LEARN from industry experts, leading attorneys, and experienced senior professionals about the challenges and issues that firms today face in compliance, performance, cybersecurity, and technology.

INTERACT with conference speakers and peers in an engaging forum that provides opportunities to ask questions and discuss industry hot topics.

NETWORK with colleagues, attorneys, consultants, and service providers to increase your opportunities to grow and strengthen your business.

Who Attends?
 

ACA’s conferences bring together senior compliance, performance, technology, and operations professionals from financial services firms. Learn about a variety of topics relevant to these roles, including regulatory compliance, performance, cybersecurity, regulatory technology, and AML.

 

66%

 had more than 5 years work experience
in compliance or performance 

84%

worked for SEC-registered
investment advisers 

73%

represented firms with over
$1 billion in AUM 

Agenda

With over 40 sessions covering various topics in compliance, performance, and regulatory technology, you can flow between tracks to design a personalized conference experience.

Wednesday, May 6

12:40pm - 12:50pm
Opening Remarks

 

1:00pm - 2:00pm
Breakout Sessions: (choose one)

  • Supervision and Disclosure of Conflicts of Interest
  • RFP Searches and Trends in the Performance Industry - Performance Track

 

2:10pm - 3:10pm
Breakout Sessions: (choose one)

  • Interval Funds and Business Development Companies
  • Fundamentals of Crisis Management
  • The SEC's Focus on Performance and the New Advertising Rule - Performance Track
  • Considerations for Implementing RegTech - RegTech Track

 

3:10pm - 3:30pm

  • Coffee Break
  • Demo Nook: ACA's RegTech Solutions

 

3:30pm - 4:30pm
Breakout Sessions: (choose one)

  • Best Practices for Anti-Money Laundering
  • SEC Developments in the Private Credit Space
  • Performance Presentation and Compliance Controls for Model Delivery Programs - Performance Track

 

4:40pm - 5:40pm

  • Proposed Amendments to the Advertising and Cash Solicitation Rules

 

5:40pm - 6:30pm
Welcome Reception

 

Thursday, May 7

7:00am - 8:00am
Breakfast

 

8:00am - 8:30am
Opening Remarks and Regulatory Update

 

8:30am - 9:20am
Keynote Address presented by Peter Driscoll, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

 

9:30am - 10:30am
Breakout Sessions: (choose one)

  • Regulatory Update: New Age of Cyber and Privacy
  • Taking Your Claim of GIPS® Compliance to the Marketplace - Performance Track

 

10:30am - 10:50am

  • Coffee Break
  • Demo Nook: ACA's RegTech Solutions

 

10:50am - 11:50am
Peer Group: (choose one)

  • Peer Group #1 - Hedge Fund
  • Peer Group #2 - Private Equity
  • Peer Group #3 - Real Estate
  • Peer Group #4 - Credit Advisers (Public and Private)
  • Peer Group #5 - Traditional Advisers (Non-Private Fund)
     
  • 2020 GIPS Handbook Guidance - Performance Track

 

11:50am - 1:00pm
Buffet Lunch / Women's Luncheon

 

1:00pm - 2:00pm
Breakout Sessions: (choose one)

  • The Tech-Enabled CCO: The Rise of RegTech and What It Means for Your Firm - RegTech Track
  • M&A Performance Considerations - Performance Track

 

2:10pm - 3:10pm
Breakout Sessions: (choose one)

  • Use of Research Providers: Experts, Public Company Management, and More
  • Private Equity and Payment Fraud Risk
  • New 2020 Verification Procedures and Requirements - Performance Track

 

3:10pm - 3:30pm

  • Coffee Break
  • Demo Nook: ACA's RegTech Solutions

 

3:30pm - 4:30pm
Breakout Sessions: (choose one)

  • Protecting Aging Clients and Investors
  • Pre-Deal Diligence, Compliance, and Conflicts Considerations
  • Best Practices for Using ComplianceAlpha's Employee Compliance, Compliance Management, and Marketing Review Solutions - RegTech Track
  • Implementing the 2020 GIPS Standards for Alternative Structures - Performance Track

 

4:40pm - 5:40pm
Breakout Sessions: (choose one)

  • Environmental, Social, Governance (ESG) for Investment Advisers
  • Form ADV: Regulation BI and Form CRS
  • Technology Roundtable: Considerations for Implementing a Holistic Surveillance Program - RegTech Track
  • Performance Networking Event - Performance Track

 

5:40pm - 7:00pm
Networking Reception 

Friday, May 8

6:30am - 7:30am
Yoga

 

8:00am - 8:45am
Breakfast

 

8:45am - 9:45am
Breakout Sessions: (choose one)

  • Working Towards a Culture of Compliance: Code of Ethics
  • Using Technology to Improve Investment Performance - Performance Track

 

9:55am - 10:55am
Breakout Sessions: (choose one)

  • Electronic Messaging, Social Media, and More
  • Best Practices for Expense Testing
  • Implementation of Optional 2020 Guidance - Performance Track

 

10:55am - 11:15am

  • Coffee Break
  • Demo Nook: ACA's RegTech Solutions

 

11:15am - 12:30pm

  • Tales from the Trenches: Experiences from Regulatory Exams

 

12:30pm - 12:40pm
Closing Remarks

 

 

 

 

 

the westin savannah golf resort and spa overlooking the river

Keynote Speaker

 

Peter Driscoll

Peter Driscoll
Director, Office of Compliance Inspections and Examinations 
U.S. Securities and Exchange Commission 

 

ABOUT PETER DRISCOLL

Peter Driscoll was named Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) in October 2017, after serving as Acting Director since January 2017. 

Before that, he served as OCIE’s first Chief Risk and Strategy Officer since March 2016, and was previously OCIE’s Managing Executive from 2013 through February 2016. 

He joined the Agency in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program. 

Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association. 

Fees & Registration

 

Early Bird Registration

by Friday, February 28, 2020

$1,750 USD

Regular Registration

by Friday, April 3, 2020

$1,900 USD

Late Registration

after Friday, April 3, 2020

$2,100 USD

 

Reserve your spot today!

Register
 


 

C3 and ACA Performance Services clients receive a special discount off the current conference registration rate.
 
If you qualify for a C3 discount, contact Lauren Walsh at
lwalsh@acacompliancegroup.com for your discount code.
 
If you are an ACA Performance Services client, contact Lauren Hazelwood at
lhazelwood@acacompliancegroup.com for your discount code.
 


 

CANCELATION/SUBSTITUTION POLICY:  

Written cancellations on or by Monday, April 6, 2020 will receive a refund less a $100 administrative fee. No refunds will be given for cancellations made after Wednesday, April 6, 2020. No refunds will be given for no shows. You may substitute in lieu of the registered person. Cancellations will not be accepted over the telephone. You may email cancellations to Julie Longthorne at jlongthorne@acacompliancegroup.com

 

PAYMENT INSTRUCTION:

Payments only through credit cards are permissible for registration. If you have any questions regarding payments, send email requests to Julie Longthorne at jlongthorne@acacompliancegroup.com

Conference Location and Hotel Information

 

map of savannah harbor with location pin at hotel


Conference attendees are responsible for making their own hotel arrangements. A block of rooms has been reserved at The Westin Savannah Harbor Golf Resort & Spa at a special rate of $249/night plus applicable taxes.

Book online or call 1-912-201-2000 and mention ACA’s Spring Conference to receive the special rate. The group rate is available until Friday, April 10, 2020 or until the room block is filled. Make your room reservation early to ensure group rate availability!

 

Book Online

Contact Us

For registration questions or more information regarding the conference, please contact Julie Longthorne at jlongthorne@acacompliancegroup.com or 1-973-631-1085 ext. 4136. 

Register now for

ACA's Spring 2020 Compliance & Performance Conference

 

Register