Compliance Issues for Credit-Focused Advisers

December 18, 2018 - 11:00 am to 12:00 pm
Investment Adviser
Lynne Carreiro, Managing Director and Kimberly Versace, Senior Principal Consultant

Join us on Tuesday, December 18, 2018 at 11 a.m. ET for our webcast, Compliance Issues for Credit-Focused Advisers. ACA Compliance Group's Lynne Carreiro and Kimberly Versace will discuss the unique challenges that come along with investing in credit instruments. The webcast will provide a brief survey of common and not so common credit instruments as well as a discussion of the compliance issues associated with investing in the credit markets. 

Discussion Topics:

  • Best execution
  • Valuation
  • Trade allocation
  • The use of warehousing facilities
  • Conflicts of interest
  • Offshore transactions
  • Controlling the flow of material non-public information

There will be time allotted to answer specific questions and respond to comments from webcast attendees.

If the date and time do not work for you... 

As part of your registration, an archived version of the live event will automatically be emailed to you when it becomes available.