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Discussion of Results: Compliance Survey for Alternative Fund Managers, Part 3
Discussion of Results: Compliance Survey for Alternative Fund Managers, Part 3
 

June 3, 2014

*Please Note: The C3 Coupon code does not apply to this event*

Division
Investment Adviser

Speaker: Jack Rader, Senior Principal Consultant, ACA Compliance Group
Speaker: Colleen Marencik, Senior Principal Consultant, ACA Compliance Group


Webcast Discussion Includes:

  • Marketing and Advertising - In this area, the survey covers compliance controls and testing related to private fund advertising, compliance with relevant JOBS Act provisions, and potential broker-dealer Registration.
  • Valuation - This segment centers on the use of formal valuation committees, valuation oversight in general, the use of third-party valuation agents, and ongoing compliance testing.
  • Transactions and Counterparties - Here the survey concentrates on factors considered in the selection of trading counterparties, policies and other considerations related to co-investment offerings, cross trades, and best execution assessments.