ACA WEBCAST DIRECTORY
Please join us on May 10, 2016, at 11:00 a.m. EDT, asPrincipal Consultant John Jacobs and Senior Data Analyst Sean McKeveny, both with ACA Compliance Group, present a webcast on "Electronic Communications - Lessons From The Trenches." Purchase
Please join us on April 21, 2016, at 11:00 a.m. ET, as ACA Compliance Group speakers Adriana Hefel, Principal Consultant and Michael Pappacena, Senior Principal Consultant, along with Yusuf Hussain, Vice President, Information Security, Goldman Sachs, present a webcast on "Service Provider Oversight and Risk Management."
Our speakers will discuss and take questions relating to:
ACA recently closed its sixth survey in a series that focuses on the specific and complex issues facing private equity, real estate, and hedge fund compliance professionals. We are pleased to report that we received nearly 280 responses! The information we collected will be reviewed during our "Discussion of Results: 2016 Alternative Fund Manager Compliance Survey Results” webcast. Please join us for this event on Thursday, April 14, 2016, from 11:00 a.m. to 12:15 p.m. ET.
The SEC’s focus on investment performance continues to make headlines. In recent months, we have seen cases related to the reliance on subadvisers’ performance without proper due diligence, the mixture of hypothetical and actual returns when presenting historical performance, and the improper calculations of net of fees returns, among other things. Andrew M. On Demand
In conjunction with the ACA Compliance Group, HFM would like to invite you to a webinar where we will be discussing "The Role and Liability of a CF10/ CCO"
Led by Sally McCarthy (who will focus on the FCA) and Lynne Carreiro (who will focus on the SEC), the webinar will provide a stimulating discussion around key topics including:
Over the past few months, through public statements and notices, the SEC staff has described a series of initiatives and focus areas for its examination and enforcement programs over the next year. Please join us on Tuesday, March 8, 2016 from 11:00 a.m. to 12:15 p.m. ET, as ACA Compliance Group speakers Alyssa Briggs, Principal Consultant, and Lee Ann Wilson, Principal Consultant, along with Jason E. Register
On January 29, 2016, the widely anticipated exposure draft of the Guidance Statement on Broadly Distributed Pooled Funds was released for public comment. The purpose of this Guidance Statement is to address what a GIPS-compliant firm must do when marketing a specific pooled unitized investment vehicle to multiple investors and the firm has little or no contact with the prospective pooled fund investors. Register
On January 5, 2016, FINRA released the eleventh 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 2016 compliance program enhancements. Register