Understanding Regulatory Requirements vs. the GIPS Standards

Investment advisers need an infrastructure for GIPS compliance that can survive an SEC examination. While there are many similarities between the rules under the Advisers Act and the requirements of the GIPS standards, there are also notable differences. Please join the panelists for a discussion of best practices to address both GIPS and SEC requirements.

Panelists will share a high-level overview of their experiences in tackling some of the regulatory and performance challenges around portability, mergers and acquisitions, and performance advertising.

A New Trend in Platforms Requiring Third-Party Performance Attestation

Consultant database reporting is an important business consideration for many investment management firms. The databases serve as a gateway for investment managers to reach institutional and retail assets alike. A recent trend in the industry is that of increased due diligence. The top databases are increasingly requiring firms to meet one of the following requirements:

FAQ: Pitfalls and Best Practices for Presenting Third-Party Performance

More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues. The latest development occurred March 22, when a federal judge ordered that F-Squared founder and former CEO Howard Present personally pay $13 million, including a $1.58 million civil money penalty, following his loss at trial this past October. This is a direct result of the Securities and Exchange Commission’s (SEC) increased focus on how advisers present third-party investment performance.

Private Equity Update

Please join us on Wednesday, June 21 at 11 a.m. for a webcast that will provide updates regarding the SEC’s focus on private equity firms. You’ll hear from ACA Compliance Group’s Raj Bakhru, Jami Jack, Gabe Glass, and Ken Harman as they discuss insights into examination trends and novel issues, as well as industry trends and observations, through the perspective of ACA's compliance, performance, and cybersecurity divisions.

Discussion topics will include:


Investment Company Training Series – Investment Company Act Focus on BDCs

ACA Compliance Group continues to offer a series of webcasts designed to provide training to compliance professionals regarding the requirements of the Investment Company Act of 1940.

Please join Thomas Riley, Principal Consultant at ACA Compliance Group, and John Grady, Partner at DLA Piper, LLP, on June 20, 2017 at 11 a.m. EDT for the next webcast in the series. This webcast is designed to provide insight into business development companies (BDCs) registered under the Investment Company Act of 1940.

2017 Investment Management Compliance Testing Survey Results Webcast

When it comes to your compliance program are you doing all you should be doing? Do you wonder how you are measuring up?

Join us as Lynne M. Carreiro of ACA Compliance Group and Sanjay Lamba of the IAA present the results of this year's survey and provide industry insight regarding best practices for monitoring your compliance program, emerging trends in the administration of compliance, and hot issues in Investment Adviser compliance. In addition, the speakers will provide practical observations regarding the results of the survey.

The Future of the GIPS Standards

Please join Alicia Hyde, Partner at ACA Performance Services, and Jonathan Boersma, Head of Professional Standards and Executive Director of the Global Investment Performance Standards (GIPS) at CFA Institute, for a discussion of current initiatives at CFA Institute, including forthcoming guidance, adoption rates, and the future of the GIPS standards. Discussion topics will include:

Cybersecurity Webcast: Best Practices for Securing Workloads on Amazon Web Services

The world of enterprise IT security is rapidly changing. Even as the leading public cloud service providers have become more secure, customer concerns around securing their cloud environments remain high. According to a recent survey of security practitioners, security is the top barrier to cloud adoption. Organizations deploying workloads on Amazon Web Services (“AWS”) at scale are faced with new challenges because traditional tools and controls that worked well for security and compliance in the datacenter fail in public cloud environments.

Introduction to Risk Management, Part 2: A Demonstration of the ACA Aponix Module in ComplianceAlpha

Information technology plays a central role in your business, so it’s important that your firm have a platform for managing its IT and cybersecurity risks. In part two of our Introduction to Risk Management webcast series, ACA Aponix's Raj Bakhru and Pascal Busnel will demonstrate the upcoming ACA Aponix module within ComplianceAlpha, ACA’s new compliance program management platform.