ACA Regulatory Horizon Workshop

September 17, 2014 - 8:00 am
Investment Adviser Private Fund Investment Company Municipal Advisor Variable Insurance Broker-Dealer NFA Member Services FCA (UK) Authorization
Convene 730 Third Avenue (between 45th and 46th) New York, NY 10017

Join ACA for a complimentary compliance workshop in New York City

In 2014, regulatory agency initiatives, enforcement cases, and new policies have attracted significant media attention. One prominent enforcement action, for instance, involved a firm that violated the Investment Advisers Act of 1940 by misrepresenting compliance with the GIPS® standards in magazine advertisements and investment report newsletters. In the last six months, the SEC, FINRA, and CFTC have increased their oversight of and disciplinary actions against individuals and firms.

Such examples provide further evidence of how quickly the regulatory world can change. To help firms stay abreast of current developments, ACA Compliance Group will be holding its first complimentary Regulatory Horizon Workshop on September 17 in New York City. During the workshop, our professional consulting team will share with attendees their first-hand insights from the “front lines” of compliance issues. They will address hot topics, answer questions, discuss their experience, and impart their vision of the regulatory horizon. Senator Judd Gregg, our keynote speaker, will also be on hand to offer his “Washington Update.Lunch will be provided.

We hope you can join us.


8:00 a.m. - 9:00 a.m.

Registration and Continental Breakfast

9:00 a.m. - 9:15 a.m.

ACA Strategic Update

9:15 a.m. - 10:00 a.m.

Washington Update from Senator Judd Gregg

10:00 a.m. - 10:15 a.m.


10:15 a.m. - 11:40 a.m.

Regulatory Hot Topics:
- Regulatory audits (SEC, FINRA, NFA, FCA)
- Cybersecurity

11:45 a.m. - 12:30 p.m.

Breakout Sessions covering:
2. Marketing & Advertising
3. Liquid Alternatives
4. AML/Anti-Corruption

12:30 p.m. – 1:30 p.m.

Buffet Lunch

Please contact Susan Parsons at with any questions. We are looking forward to seeing you on September 17.