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SEC Initiatives and Hot Topics for Investment Advisers in 2010

January 28, 2010
1:00 pm EST

Division
Investment Adviser

Level
Basic

This webcast will discuss:

  • Investment Adviser and Broker-Dealer Harmonization
  • Pay-to-Play Rules
  • Custody
  • Insider Trading
  • Changes in the SEC

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Amendments to the Custody Rule

February 9, 2010
1:00 pm EST

Division
Investment Adviser

Michele Gibbons, Partner, Mayer Brown LLP

Barry Schwartz, Partner, ACA Compliance Group

Level
Intermediate

This webcast will discuss:

  • Who is Subject to "Surprise Examinations"
  • Auditing Requirement for Pooled Investment Vehicles
  • Affiliated Custodians
  • Reporting Requirements for Physical Custody
  • Delivery of Account Statement Requirement

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Privacy Safeguards

Thursday, February 18, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

Brian L. Rubin, Partner, Sutherland Asbill & Brennan LLP.
Joshua Broaded, Principal Consultant, ACA Compliance Group

This webcast will discuss:

  • Does Massachusetts Privacy Law MA 201 CMR 17 Affect You?
  • Coming into compliance with the Massachusetts Privacy Law
  • Regulation S-P
  • Regulation S-AM
  • The FTC’s Red Flags Rules on Identity Theft

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Anti-Money Laundering

March 2, 2010
1:00 pm EST

Division
Broker-Dealer

Level
Basic

Brad Burgtorf, Consultant, ACA Compliance Group

Gregory Baldwin, Partner, Holland & Knight

This webcast will discuss:

  • The USA Patriot Act and the Bank Secrecy Act
  • FINRA Rule 3310
  • The Development of Customized Policies and Procedures
  • Training for Employees
  • Independent Testing
  • Enhancing the Customer Identification Program (CIP)
  • OFAC Compliance Requirements
  • Interactions with FinCEN

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The Importance of GIPS® in the Hedge Fund World - For Both Managers and Investors

March 16, 2010
1:00 pm EST

Division
GIPS Compliance

Level
Intermediate

This webcast will discuss:

  • The Benefits of the GIPS® for Hedge Fund Managers
  • A Consultant's Perspective on GIPS® Compliance for Hedge Funds
  • Enhanced Operational Due Diligence
  • Guidance on How Best to Apply the GIPS® to a Hedge Fund

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FINRA Hot Topics for 2010

April 13, 2010
1:00 pm EST

Division
Broker-Dealer

Level
Intermediate

Travis Dragomani, Principal Consultant, ACA Compliance Group

Jeffrey D. Suhanic, CCO, PNC Investments

This webcast will discuss:

  • Sales Practice Issues
  • New Proposed Rules or Amendments
  • Sweeps

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SEC Examinations of Investment Advisers

April 22, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

Eva Marie Carney, Partner, RK&O Richards Kibbe & Orbe LLP

Joel Sauer, Principal Consultant, ACA Compliance Group

This webcast will discuss:

  • Asset verification tests
  • E-mail Requests
  • Risk Based Exams vs. 5-Year Cycle
  • Commonly Found Exam Deficiencies
  • Joint IA/BD Examinations
  • The SEC's Enforcement Process - Enhanced Subpoena Powers

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The SEC and your GIPS® Claim of Compliance

May 4, 2010
1:00 pm EST

Division
GIPS Compliance

Level
Intermediate

Theodore E. Eichenlaub, Partner, ACA Compliance Group

This webcast will discuss:

  • A Review of Recent GIPS® related Deficiency Letters
  • Overview of Current Trends/Regulation
  • Documentation of Policies and Procedures required by the GIPS®
  • Tips to Ensure and Maintain Your Firm's Claim of Compliance with the GIPS®

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Sub-Adviser Requirements to Registered Mutual Funds

May 18, 2010
1:00 pm EST

Division
Registered Investment Company

Level
Basic

Joseph Spanier, Vice President of Compliance, Steinberg Asset Management, LLC
Shannon Behara, Senior Principal Consultant, ACA Compliance Group

What should Sub-Advisers to registered mutual fund know regarding the Investment Company Act and Industry Best Practices.

  • Understanding the Investment Company Act Rules applicable to sub-advisers
  • Areas of the Mutual Fund's Compliance Program that may be applicable to sub-advisers
  • How to address the sub-adviser's compliance manual for Investment Company Act and the mutual fund client's 38a-1 program
  • Sub-adviser's attestation to the Fund's CCO

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The Survival Guide to SEC Registration for Private Fund Managers

June 10, 2010
1:00 pm EST

Division
Investment Adviser

Level
Basic

Jeff Morton, Partner, ACA Compliance Group
Laurin Blumenthal Kleiman, Partner, Sidley Austin LLP

This webcast will discuss:

  • The Registration Process
  • Books and Records Requirements
  • Disclosure Requirements
  • What it Takes to Develop a Compliance Program

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Tips for Marketing to Institutions/Consultants and Advertising from a GIPS® & SEC Perspective

June 15, 2010
1:00 pm EST

Division
GIPS Compliance

Level
Intermediate

Alicia Hyde, CIPM, Managing Director, ACA Compliance Group
Joel Sauer, Principal Consultant , ACA Compliance Group

This webcast will discuss:

  • Advertising From a GIPS® & SEC Perspective
  • Best Practices for Marketing to Consultants
  • Review of Latest eVestment Statistics
  • Best Practices for Data Continuity

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Fixed Income Trading Challenges

July 20, 2010
1:00 pm EST

Division
Broker-Dealer

Level
Advance

Francois Cooke, Managing Director, ACA Compliance Group

Gina E. Hyde, CCO, Janney Montgomery Scott, LLC

This webcast will discuss:

  • Trade Reporting
  • Markups and Markdowns
  • Valuation Issues
  • Other Industry Challenges

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Marketing Guidance for Private Fund Managers

July 27, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

Luke Wilson, Senior Principal Consultant, ACA Compliance Group

Michele Gibbons, Partner, Mayer Brown LLP

This webcast will discuss:

  • Who Can You Provide Your Fund Marketing Materials To?
  • What Constitutes a Public Offering or General Solicitation
  • Establishing a Pre-Existing and Substantive Relationship Before Giving Out Fund Materials
  • Using a Placement Agent to Find Prospective Investors

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Creating an Effective Insider Trading Program for Advisers

August 17, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

Dan Smith, Managing Director, ACA Compliance Group

Stavroula Lambrakopoulos, Partner, K&L Gates LLP

This webcast will discuss:

  • Recent SEC Enforcement Cases Regarding Trading on MNPI
  • Examples of What Constitutes "Material" and "Non-Public" Information
  • Ways to Detect Trading on MNPI
  • Informational Barriers

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SEC's Pay-to-Play Rule

August 24, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

Joel Sauer, Principal Consultant, ACA Compliance Group

Kit Addleman, Partner, Haynes and Boone, LLP

On July 1, 2010, the SEC adopted Rule 206(4)-5 that governs political contributions made by investment advisers. This webcast will discuss:

  • Two-year "time out" period
  • Prohibition on using third parties to solicit government business
  • What is a "direct" and "indirect" contribution?
  • Covered investment pools
  • Books and records of political contributions
Learning Objectives – After participating in this webcast, attendees will be able to distinguish between prohibited and permissible political contributions to government candidates. CPE Credits – 1.0 Pre-requisite – None Advance Preparation - None

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How To Effectively Work With Your Clearing Firm

October 5, 2010
1:00 pm EST

Division
Broker-Dealer

Level
Intermediate

Francois Cooke, Managing Director, ACA Compliance Group

Richard O’Brien, SVP and Chief Compliance Officer, Fidelity Investments

Linda Van Oosting, Vice President, Raymond James & Associates, Inc.

This webcast will discuss:

  • Roles and Responsibilities
  • Exception Reports
  • Trade Reporting
  • Disclosures
  • Reconciliations and Adjustments of Errors
  • Books and Records

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Preparing for the Upcoming Changes to the GIPS®

October 19, 2010
1:00 pm EST

Division
GIPS Compliance

Level
Intermediate

This webcast will discuss:

  • Recent Guidance & Interpretation of the GIPS®
  • An In-Depth Discussion of Topics Covered at the 2010 GIPS® Conference
  • A Look at the 2010 GIPS®

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2a-7 Money Market Funds – Dealing with the New SEC 2a-7 Reform Rules

November 2, 2010
1:00 pm EST

Division
Registered Investment Company

Level
Advance

Christopher Kemp, Principal Consultant, ACA Compliance Group
David Goldstein, Partner, Sutherland Asbill & Brennan LLP

How advisers, sub-advisers and money market funds are dealing with changes to the SEC’s reform regulation on 2a-7 funds.

  • Considerations on selecting the primary NRSROs for the fund
  • The role by Portfolio Managers and Analysts to perform stress testing
  • New Fund Board reporting and SEC reporting
  • Considerations for changes to adopted 38a-1 and 2a-7 polices and procedures

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Going Paperless - Electronic Books & Records for Advisers

November 9, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

Gary Watkins, Partner, ACA Compliance Group
Nathan Howell, Senior Associate, Sidley Austin LLP

This webcast will discuss:

  • The Requirements of Maintaining Electronic Books & Records Under the Investment Advisers Act
  • Must You Maintain Hard Copies as a Backup?
  • Retention Period for Electronic Documents
  • Tips to Convert to a Paperless Office

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Traditional Marketing by Investment Advisers

November 30, 2010
1:00 pm EST

Division
Investment Adviser

Level
Intermediate

David Goret, Member, Lowenstein Sandler PC
Lynne Carreiro, Senior Principal Consultant, ACA Compliance Group

This webcast will discuss:

  • Marketing Performance Returns
  • Performance Disclosures
  • Key Marketing No-Action Letters
  • Speaking to the Press or Media
  • What Can You Put on Your Website?
This webcast has been approved for one (1) MCLE credit by the State Bar of California.

This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1.0 credit hour, of which none will apply to legal ethics/professional responsibility credit.

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