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Everything a Private Fund Manager Needs to Know About SEC Registration

March 8
1:00 pm EST

Division
Investment Adviser

Speaker: Dan Smith, Managing Director, ACA Compliance Group

Speaker: Mark Borelli, Partner, Sidley Austin LLP

This webcast will discuss:

  • Registration deadline
  • Required filings
  • Developing a compliance program
  • Training employees

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Hot SEC Topics

March 17
1:00 pm EST

Division
Investment Adviser

Speaker: Nicholas Batinich, CFA, Senior Principal Consultant, ACA Compliance Group

Speaker: David Gruenstein, Partner, Wachtell, Lipton, Rosen & Katz

This webcast will discuss:

  • SEC initiatives for 2011
  • What these initiatives mean for investment advisers
  • SEC’s Office of Compliance Inspections and Examinations (“OCIE”) update
  • Recap and update on hot SEC issues in 2010

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Equity Trading Challenges

April 12
1:00 pm EST

Division
Broker-Dealer

Speaker: Michael Corrao, Managing Director and CCO, Knight Equity Markets

Speaker: Francois Cooke, Managing Director, ACA Compliance Group

Speaker: Mark Paverman, Principal Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Compliance Foundation and Oversight Structure
  • Regulatory Reporting
  • Regulation SHO Oversight
  • Regulation NMS, Limit Order Display and Best Execution
  • Risk Controls

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CCO’s Survival Guide to GIPS Compliance

April 14
1:00 pm EST

Division
GIPS Compliance

Speaker: Charlie Stout, Verification Manager, ACA Compliance Group Beacon Verification Division

Speaker: Steve Stack, Chief Compliance Officer, ICC Capital Management

Webcast Discussion Includes:

  • Top 10 GIPS related deficiencies uncovered in SEC exams
  • Best practice advice to ensure your firm is ready when the SEC knocks on your door
  • Overview of current trends/regulation
  • Most common items missing from GIPS Policies & Procedures

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Privacy for Investment Advisers

April 21
1:00 pm EST

Division
Investment Adviser

Speaker: Edward R. McNicholas, Partner, Sidley Austin

Speaker: Brad Burgtorf, Principal Consultant, ACA Compliance Group

This webcast will discuss:

  • Regulation S-P
  • Model privacy notice
  • Regulation S-AM
  • Common safeguards to protect non-public client information
  • State privacy laws

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FINRA Hot Topics for 2011

May 3
1:00 pm EST

Division
Broker-Dealer

Speaker: Travis Dragomani, Principal Consultant, ACA Compliance Group

Speaker: Alan Wolper, Partner, Locke Lord Bissell & Liddell LLP

Webcast Discussion Includes:

  • New Proposed Rules or Amendments
  • SEC and FINRA Focus Areas
  • Sweeps

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Surviving an SEC Examination

May 17
1:00 pm EST

Division
Investment Adviser

Speaker: Giselle Casella, Principal Consultant, ACA Compliance Group

Speaker: Andrew Dunbar, Associate, Sidley Austin LLP

Learning Objectives of this webcast are:

  • Recognize the types of SEC examinations conducted
  • Distinguish between enforcement proceedings and deficiency letters
  • Discover helpful hints to prepare for upcoming SEC examinations
  • Identify common violations found during SEC examinations
  • Hear tips for handling the SEC staff while on-site

CPE Credit: 1 hour
Pre-Requisite: None
Advance Preparation: None
Course Level: Basic
Type of Delivery Method: Group-Internet Based


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Tips for Efficient Implementation of the GIPS Standards

May 24
1:00 pm EST

Division
GIPS Compliance

Speaker: Mike Sonnenburg, Verification Manager, ACA Compliance Group Beacon Verification Division

Speaker: Shamya Sermons, Senior Verification Associate, ACA Compliance Group Beacon Verification Division

Webcast Discussion Includes:

  • Top 5 hurdles firms face in implementing the GIPS
  • Expert guidance on efficient project management
  • How to best engage the functional areas within a firm affected by GIPS compliance
  • Strategies for implementing change within your organization related to GIPS compliance

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2011 Investment Management Compliance Benchmarking Survey Results Presentation

June 16
1:00pm EST – 2:30pm EST

Speaker: Lynne M. Carreiro, Senior Principal Consultant, ACA Compliance Group

Speaker: Kathy Ireland, Associate General Counsel, Investment Advisor Association

Webcast Discussion Includes:

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 Kathy Ireland of the IAA present the results of this year’s survey and provide industry insight regarding best practices, emerging trends, and hot issues in Investment Adviser compliance. In addition, the speakers will address best practices and tips for communicating details about your compliance program to regulators.

Cost:

The cost of this webcast is $100. For survey participants, please use the coupon code that was supplied to you upon survey completion to register for free.


Our Price: $100.00
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Code of Ethics

June 28
1:00 pm EST

Division
Investment Adviser

Speaker: Dan Smith, Managing Director, ACA Compliance Group

Speaker: Cary Meer, Partner, K&L Gates

This webcast will discuss:

  • Employee personal trading
  • Pre-clearance requirements
  • Quarterly and annual reporting
  • Gifts and entertainment
  • Outside business activities

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Broker-Dealer Financial Reporting and Risk Management

July 12
1:00 pm EST

Division
Broker-Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group

Speaker: Marc H. Stoltz, Managing Director, JRS Financial Services, LLC

Webcast Discussion Includes:

  • Net Capital Computation and FOCUS Filings
  • Typical Challenges and Hot Topics
  • Regulatory Notice 10-57
  • Risk Management Framework

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Social Networking

September 8
1:00 pm EST

Division
Investment Adviser

Speaker: Jack Rader, Consultant, ACA Compliance Group

Speaker: Margaret R.A. Paradis, Partner, Morris, Manning & Martin, LLP

This webcast will discuss:

  • How marketing rules apply to social networking media
  • Books and recordkeeping requirements
  • Monitoring on social networks
  • Compliance risks associated with social networking

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Marketing your GIPS Claim of Compliance to Institutional Consultants & Databases

September 20
1:00 pm EST

Division
GIPS Compliance

Speaker: Charlie Stout, Verification Manager, ACA Compliance Group Beacon Verification Division

Speaker: John Molesphini, Vice President, eVestment Alliance

This webcast will discuss:

  • eVestment Alliance answers the Top 5 questions asked when populating consultant databases
  • Institutional Consultant will provide insight into what they are looking for in selecting a manager
  • Common GIPS questions related to RFPs and databases
  • Best practices on how othe firms are meeting Standard 0.A.11

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What the AIFM Directive Means to U.S. Investment Advisers

October 4
1:00 pm EST

Division
Investment Adviser

Speaker: Kimberly Daly, Senior Principal Consultant, ACA Compliance Group

Speaker: Richard Timms, Associate Director, ACA Compliance (Europe) Limited

This webcast will discuss:

  • What the AIFM Directive is and whether it applies to your advisory firm
  • What it means for U.S. advisers who market to EU citizens
  • What does it means for U.S. advisers who have EU offices
  • What changes will need to be made for advisers who are already active in the EU region
  • What are the considerations for advisers who are contemplating starting marketing/investment management activities in the EU
  • How does the “passporting” work?
  • What does this mean for firms that are European but are outside of the EU?

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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New Regulatory Filing Responsibilities for Investment Advisers

October 7
1:00 pm EST

Division
Investment Adviser

Speaker: Jessica Huelbig, Principal Consultant, ACA Compliance Group

Speaker: Jonathan Miller, Partner, Sidley Austin LLP

This webcast will discuss:

  • SEC’s Form 13H
  • Form PF and Form N-PX
  • TIC Form SLT
  • Certain FATCA Filings

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 NY 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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Investment Adviser Marketing Compliance Issues

October 25
1:00 pm EST

Division
Investment Adviser

Speaker: Colleen Marencik, Principal Consultant, ACA Compliance Group

Speaker: Michael Caccese, Practice Area Leader, Financial Services, K&L Gates

This webcast will discuss:

  • Advertising rule under the Advisers Act
  • Key no-action letters
  • Marketing hurdles faced by private fund managers
  • Performance advertising
  • Relevant disclosures

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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Performance Advertising from a GIPS & SEC Perspective

November 15
1:00 pm EST

Division
GIPS Compliance

Speaker: Alicia Hyde, Managing Director, ACA Compliance Group Beacon Verification Division

Speaker: Jack Rader, Principal Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Definition of an advertisement from an SEC and a GIPS perspective
  • Overview of disclosure obligations to meet both SEC and GIPS requirements
  • Most common performance calculation mistakes
  • Discussion of examinations’ “red flags” related to advertising

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Private Placements

November 1
1:00 pm EST

Division
Broker-Dealer

Speaker: Brad Burgtorf, Principal Consultant, ACA Compliance Group

Speaker: Jeffrey Levine, Chief Compliance Officer/Associate General Counsel, Mesirow Financial

This webcast will discuss:

  • Private placement due diligence
  • Marketing affiliate sponsored private placements
  • Suitability and know your customer considerations
  • Marketing of private placements
  • Supervision of RR private placements

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