ACA WEBCAST DIRECTORY
On January 6, 2015, FINRA released the tenth edition of its "Regulatory and Examinations Priorities Letter." The "areas of significance" designated by FINRA should be a primary focus for broker-dealer compliance personnel as part of their 2015 compliance program enhancements.
Achieving and maintaining compliance with the GIPS standards takes more than a "one size fits all" approach. As your firm completes its year-end reviews and annual performance reporting, now is the perfect time to review the policies you follow for complying with the GIPS standards. During this complimentary webcast, Karyn Vincent and David Terris will share their experience and give practical advice on GIPS compliance related resolutions for firms to consider in 2015.
Senior Principal Consultant
ACA Compliance Group
ACA Compliance Group
Join us for a our complimentary webcast, AIFMD Annex IV Reporting for US Managers - "The European Form PF" on Wednesday, January 14, 2015, from 11 a.m. to 12:15 p.m. EST. Andrew Welch, European Head of Business Development at ACA Compliance (Europe), Dileep Bhat, Senior Vice President at ACA Technology Solutions, and James Andrews, Consultant atACA Compliance (Europe), will host the webcast.
Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Jonathan Miller, Partner, Sidley Austin LLP
Kevin Campion, Partner, Sidley Austin LLP
Join ACA's Giselle Casella as she reviews compliance changes in 2014.
Click here to register.
ACA recently closed its fourth survey in a series that focuses on the novel and complex issues facing private equity, real estate, and hedge fund compliance professionals. We are pleased to report receiving nearly 200 responses! The information we collected will be reviewed during our "2014 Alternative Fund Manager Compliance Survey Results Discussion" webcast. Please join us for this event on Friday, November 14, from 11 a.m. to 12:15 p.m. EST. On Demand
Larger firms are often more complex in nature than smaller firms, creating challenges related to GIPS compliance that are more intricate and structural in nature than those of smaller firms. It is not uncommon for larger managers to have a dedicated GIPS team responsible for the firm’s claim of compliance. Register
The importance of GIPS compliance in marketing today is undisputed. Having the proper internal controls in place related to marketing your firm’s claim of GIPS compliance is more important than ever in light of recent SEC actions and regulatory scrutiny over performance, marketing, and advertising. On Demand