SEC

 

November 3, 2014
Publication: NSCP Currents Issue: November 2013 Author: Dan Campbell, Senior Principal Compliance Consultant, ACA Compliance Group
October 31, 2014
Join ACA's Jack Rader on June 24 as he discusses, "Tales of an SEC Audit - Looking into the SEC Examination Experience."
October 31, 2014
On September 19, Andrew Bowden, Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”), announced the initial findings from the SEC’s focused examinations of newly-registered private fund advisers.
October 30, 2014
Join ACA's Kim Daly as she moderates a panel discussion on "Be Ready for the Regulators."
October 30, 2014
Join ACA's Jeff Morton as he joins with Goldman Sachs to discuss, "Regulatory Exams: Getting Prepared."
October 30, 2014
Join ACA's Ted Eichenlaub for a webinar on "Cybersecurity and the SEC."
October 30, 2014
Join ACA's Jeff Morton at the Goldman Sachs Hedge Fund Learning Series as he discusses, "Regulatory Exams: Getting Prepared."
October 30, 2014
Join ACA's Victoria Hulick as she speaks on,"SEC Regulatory Update" on September 18.
October 30, 2014
Join ACA's Rob Stype, Lynne Carreiro and Scott Brindley at the Infoline 2014 Conferrence on US Regulation for European Fund Managers.
October 24, 2014
Dear Clients and Friends,
October 24, 2014
Dear Clients and Friends,