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Investment Company Annual Compliance Review Survey 2007

January 14, 2008
1:00pm-2:15pm EST

Nick Prokos, ACA Compliance Group

David Schwartz, Mutual Fund Directors Forum
Francine Rosenberger, Kirkpatrick & Lockhart LLP

Join us for a special webcast discussing the results of ACAís and the Mutual Fund Directors Forumís Investment Company Annual Compliance Review Survey 2007.

Our webcast panel will be made of industry experts and participants will discuss the following topics as well as other detailed survey findings:

  • Best Practices in conducting the Annual Review
  • Review Methodologies Employed by Fund CCOs
  • Board Views of the Annual Review
  • Board Governance Practices
  • Presentations to the Board

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Inside Look at SEC Enforcement Cases Brought Against Advisers in 2007
January 29, 2008

David F. Freeman, Jr., Partner
Arnold & Porter, LLP

Barry Schwartz, Partner
ACA Compliance Group

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Broker Dealer Supervisory Controls Testing and Reporting
February 12, 2008

Nelson Rosa, Principal Consultant
ACA Compliance Group

Greg Deaver, Senior Principal Consultant
ACA Compliance Group

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Valuation of Securities
March 4, 2008

Jeff Morton, Partner
ACA Compliance Group

Dwight Grant, Ph.D., Managing Director
Financial Engineering Services
Duff and Phelps, LLC

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GIPS Compliance for Hedge Funds
March 25, 2008

Justin Guthrie, CFA, CPA

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Compliance Risks Associated With Alternative Investments
April 22, 2008

Sean Farrell, Principal Consultant
ACA Compliance Group

Nathan J. Greene, Partner
Shearman & Sterling, LLP

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Basic 101 Investment Company Rules for Advisers to Mutual Fund Companies
May 6, 2008

Nick Prokos, Managing Director
ACA Compliance Group

Jennifer Bergenfeld, Esq., Counsel/Vice President
AllianceBernstein L.P.

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Best Practices for GIPS Policies and Procedures
June 3, 2008
1:00 pm EST

Jeff Tarumianz, CFA, CIPM

Michelle B. Kennedy, Chief Compliance Officer
WealthTrust LLC

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Broker Dealer Branch Office Examinations
June 17, 2008
1:00 pm EST

Greg Deaver, Senior Principal Consultant
ACA Compliance Group

Wesley L. Ringo, CCO
J.J.B. Hilliard, L.L. Lyons, Inc.

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2008 Investment Management Compliance Testing Survey Report
Monday, June 30, 2008
1:00 pm EST

This webcast presents the results of the 2008 Investment Management Compliance Testing Survey. The webcast presenters, Jeff Morton of ACA Compliance Group and Karen Barr of the Investment Adviser Association, will summarize the results of the survey and provide insight about industry best practices, emerging trends, and hot issues. In addition, they will discuss best practice tips for communicating details about your testing program to regulators.

Our Price: $75.00
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