GRC webcasts
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Governance, Risk, and Compliance (GRC) Webcasts

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ACA hosts a variety of free and paid webcasts each year. These webcasts cover a range of topics including regulatory compliance, performance, cyber security, financial crime, and financial technology. Most webcasts hosted by ACA are available on demand for three years after the presentation date.

For more information, contact us at webcastinfo@acacompliancegroup.com.

ACA WEBCAST DIRECTORY

 

Webcast
October 30, 2018

Section 18 (Senior Securities and Asset Segregation)

Section 18 of the 1940 Act prohibits registered funds from issuing any “senior security”. This prohibition has been extended to limit portfolio activities that create “leverage”. This includes the use of derivatives and other common trading practices.
On Demand
Webcast
October 25, 2018

Vendor Risk: Due Diligence, Scaling, Analysis, and Ongoing Oversight

In recent years, regulators have increasingly focused on vendor due diligence. Join Marc Lotti, Partner at ACA Aponix, alongside the compliance manager of a leading private equity firm, as they discuss some of the challenges companies face in identifying and managing third-party risks. Our speakers will discuss best practices for managing your due diligence process and how to scale your third-party risk management program.
On Demand
Webcast
October 25, 2018

SFC’s Fund Manager Code of Conduct: Navigating the Challenges

Changes to the Securities and Futures Commission (SFC) Fund Manager Code of Conduct will be implemented on 18 November this year, affecting any firm licensed to carry out asset management regulated activity in Hong Kong. Derek McGibney, our Director of Asia hosts a panel discussion examining key challenges and considerations ahead of the regulation coming into force.Discussion topics will include:
On Demand
Webcast
October 23, 2018

Common Practices of GIPS-Compliant Firms

Join us for our exclusive webcast Common Practices of GIPS®-Compliant Firms. ACA Performance Services' Crista DesRochers will discuss the most common question we receive from clients, “What do other firms do?” During this presentation we will share recent findings gathered from the firms we work with to provide answers to our most commonly asked questions. 
On Demand
Webcast
October 16, 2018

Due Diligence and Oversight of Sub-Advisers

We invite you to join ACA Compliance Group’s Michelina Cuccia and Erik Olsen, and Joseph Paolo from AXA Equitable on Tuesday, October 16th, 2018 at 2 P.M. EDT as they discuss the makeup of an investment adviser’s due diligence program and compliance oversight of sub-advisers.
On Demand
Webcast
October 11, 2018

Discussion of Results: Fall 2018 Alternative Fund Manager Compliance Survey

ACA Compliance Group invites you to join our live webcast discussing the results of our Alternative Fund Manager Survey on Thursday, October 11th from 2:00 p.m. - 3:15 p.m. Eastern Time. 
Purchase
Webcast
September 26, 2018

Pay-to-Play Regulation and Your Compliance Program

The midterm elections are a few short months away, and a number of recent administrative proceedings against both registered investment advisers and exempt reporting advisers by the U.S. Securities and Exchange Commission (“SEC”) should serve as a valuable reminder of the importance of actively monitoring for risks that political contributions can have on business with government entities. 
On Demand
Webcast
September 25, 2018

Highlights from the GIPS Standards Conference

The 22nd Annual GIPS® Standards Conference, sponsored by CFA Institute, was held in Austin on September 13-14, 2018. Join ACA Performance Services as we discuss highlights from the conference including an update on the 2020 GIPS Standards and other performance and regulatory topics.
On Demand
Webcast
September 21, 2018

Hedge Fund Strategy Series: Part 1 – Novel Compliance Issues Faced by Credit Managers

Join us on Friday, September 21, 2018 at 11 a.m. ET for our webcast, Novel Compliance Issues Faced by Credit Managers. Oak Hill Advisors' Kai Lee, and ACA Compliance Group's Joel Stocksdale and Lisa Ollar will discuss compliance issues unique to credit managers including such areas as best execution, allocation of investment opportunities, considerations around cross trades, and valuation.
On Demand