Speaking at the IA Watch 17th Annual IA Compliance Conference on February 26, 2015, Julie M.
February 8, 2015
On February 3, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") released a Risk Alert summarizing the results of its recent
January 26, 2015
On January 13, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") announced its "Examination Priorities for 2015." Notably, OCIE stated it will continue to focus on private equity fees and expenses "given the high rate of deficiencies that we h
November 4, 2014
Join ACA's Dan Smith and Jorge Rodriguez on March 4 as they discuss, "Effective Compliance Programs for Investment Advisers."
November 3, 2014
Publication: NSCP Currents Issue: November 2013 Author: Dan Campbell, Senior Principal Compliance Consultant, ACA Compliance Group