Discussion of Results: 2017 Compliance Survey for Alternative Fund Managers

April 27, 2017 - 11:00 am
Investment Adviser Private Fund

ACA recently closed its eighth survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, infrastructure) managers. We are pleased to report that we received over 260 responses! The information we collected will be reviewed during our "Discussion of Results: 2017 Compliance Survey for Alternative Fund Managers" webcast. Please join us for this event on Thursday, April 27, 2017, from 11 a.m. to 12:15 p.m. EDT.

The webcast presenters, Danielle Joseph and Tessa Carbone of ACA Compliance Group, will analyze issues raised in the survey. These include the following topics:

  • Controls Related to the Receipt of Material Nonpublic Information – This discussion will focus on information barriers, restricted lists, interaction with industry experts and consultants, corporate access, and training.
  • Fund Expenses – This portion of the webcast concentrates on the types of expenses charged to private funds, the income received by fund managers and any associated management fee offsets, and the controls, policies, and procedures related to fund expenses.
  • Business Continuity and Transition Plans (“BCP”) – Danielle and Tessa will focus on the controls that firms have implemented to protect clients’ and investors’ interests from being placed at risk by a business interruption, a natural disaster, or the loss of key personnel, including the adoption of policies and procedures, testing, and review of the BCPs of third-party service providers.

Survey participants may attend this webcast free of charge. If you have not done so already, please click here to register. To access the event at no fee, please be sure to use the code you received after completing the survey.

Individuals who did not participate in the survey are welcome to attend the webcast. The fee to attend is $225. Please click here to register for the event or for any of ACA's upcoming webcasts.