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Introduction to Registered Investment Company Compliance

October 25

Division
Investment Company

Speaker: Shannon Behara, Managing Director, ACA Compliance Group

Speaker: Leanne Smith, Senior Compliance Manager, T. Rowe Price

Webcast Discussion Includes:

  • Overview of structures and operations of mutual funds
  • Key compliance considerations for registered investment companies
  • Adviser and Sub-adviser responsibilities

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Social Networking for Investment Advisers

February 1

Division
Investment Adviser

Level
Basic

Speaker: Kim Daly, Sr. Principal Consultant, ACA Compliance Group

Speaker: Margaret Paradis, Morris, Manning & Martin, LLP

Webcast Discussion Includes:

  • The recent SEC risk alert
  • Recent SEC enforcement action
  • Best practices in the industry

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Form ADV

February 23

Division
Investment Adviser

Level
Basic

Speaker: Gary Watkins, Partner, ACA Compliance Group

Speaker: Paul Miller, Partner, Seward & Kissel LLP

Speaker: Jim Gaven, CCO, Welsh Carson

Webcast Discussion Includes:

  • The new Part1A
  • Form ADV Part 2 delivery requirements
  • Annual update requirements
  • IARD Administration

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Mid-Size Advisers - Switching to State Registration

March 8

Division
Investment Adviser

Level
Basic

Speaker: Gary Watkins, Partner, ACA Compliance Group

Speaker: Patty Loutherback, Director, Registration Division of Texas

Speaker: Joseph Brady, Deputy General Counsel, North American Securities Administrators Association

Webcast Discussion Includes:

  • An overview of the filing requirements of mid-size advisers
  • A survey of state regulation

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Communication Challenges Including the Use of Social Media

March 27

Division
Broker Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group

Speaker: Steve Gilbert, Regional Compliance Officer, Eagle Asset Management, Inc.

Webcast Discussion Includes:

  • Monitoring Approaches
  • Supervision
  • Recordkeeping Responsibilities
  • Types of Interactive Forums
  • Potential Risk Areas

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Top Perennial Deficiencies of GIPS® Compliant Firms

March 29

Division
GIPS Verification

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

Speaker: Kamelia Dari, Verification Manager, ACA Compliance Group Beacon Verification Services

Webcast Discussion Includes:

  • Top 5 hurdles firms face in implementing the GIPS
  • Common composite construction mistakes
  • Record-keeping
  • Keeping your GIPS policies and procedures manual current
  • Disclosure deficiencies
  • Case studies of effective solutions

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Custody Issues for Private Equity and Real Estate Advisers

April 10

Division
Investment Adviser

Level
Advanced

Speaker: Colleen Marencik, Principal Consultant, ACA Compliance Group

Speaker: Nathan Greene, Partner, Shearman & Sterling LLP

Webcast Discussion Includes:

  • Uncertificated securities
  • Legal documents
  • Audit requirements

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FINRA Hot Topics for 2012

April 20

Division
Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group

Speaker: Alan Wolper, Partner, Ulmer & Berne LLP

Webcast Discussion Includes:

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

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CCO’s Survival Guide to GIPS® Compliance

May 22

Division
GIPS Verification

Speaker: Kamelia Dari, CIPM, Verification Manager, ACA Compliance Group Beacon Verification Division

Speaker: Vincent McDonough, Prime Advisors, Inc., General Counsel and Chief Risk Officer

Webcast Discussion Includes:

  • Common GIPS related deficiencies
  • How to structure the compliance framework
  • Risk assessments related to GIPS compliance
  • Ongoing maintenance
  • Tips for exam preparation

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Books and Records

August 23

Division
Investment Adviser

Speaker: Joel Stocksdale, Principal Consultant, ACA Compliance Group

Speaker: Michael B. Koffler, Partner, Sutherland Asbill & Brennan LLP

Webcast Discussion Includes:

  • Books and records required to be maintained
  • SEC expectations
  • Impact of technology on advisory books and records storage and retrieval
  • Testing methods used to evaluate compliance

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CCO Liability

July 11

Division
Investment Adviser

Level
Basic

Speaker: Mike Ciambor, Principal Consultant, ACA Compliance Group

Speaker: Neil Lang, Partner, Sutherland Asbill & Brennan LLP

Webcast Discussion Includes:

  • Recent enforcement actions targeting CCOs
  • Personal liability for compliance failures
  • Indemnification and resolution of issues

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Risk Management and Portfolio Compliance

August 9

Division
Investment Adviser

Level
Basic

Speaker: Dan Campbell, Sr. Principal Consultant, ACA Compliance Group

Speaker: Katherine Macleod, Risk Analyst, Senator Investment Group

Webcast Discussion Includes:

  • Best practices for ensuring compliance with clients’ investment objectives and restrictions
  • Forensic testing recommendations

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Operations and Regulations

September 5

Division
Broker Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group

Speaker: Chris Meitz, Director of Operational Controls, Scottrade, Inc.

Speaker: Barbara McNally, Vice President, Director of Operations, Securities Service Network

Webcast Discussion Includes:

  • What key rules apply to operational activities
  • What operational information should CCOs be aware of
  • What to consider in designing an overall risk management framework

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Best Practices in the Selection and Oversight of Counterparties

September 20

Division
Investment Adviser

Level
Advanced

Speaker: Jami Jack, Sr. Principal Consultant, ACA Compliance Group

Speaker: Amy Heaney, Director of Operations and Compliance, AM Global Wealth Management

Webcast Discussion Includes:

  • Due diligence questionnaires and best practices
  • SEC requirements
  • Reporting and Review
  • Credit Analysis

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GIPS® Policies and Procedures Part II: Would Your Firm's Pass the Test?

September 25

Division
GIPS Verification

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

Speaker: Coley McKinstry, Verification Manager, ACA Compliance Group Beacon Verification Division

Webcast Discussion Includes:

  • key policies requiring implementation considerations
  • case studies covering common challenges and solutions
  • procedural best practices to ensure policies are properly applied
  • ongoing review and maintenance of the manual

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SEC Initiatives for the New Fiscal Year

October 4

Division
Investment Adviser

Level
Basic

Speaker: Kent Wegrzyn, Sr. Principal Consultant, ACA Compliance Group

Speaker: Andrew Dunbar, Partner, Sidley Austin LLP

Webcast Discussion Includes:

  • Regulatory updates and current events discussion

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Marketing Requirements of GIPS® Compliant Firms

November 13

Division
GIPS Verification

Speaker: Bobby Ankar, Verification Manager, ACA Compliance Group Beacon Verification Division

Speaker: John Molesphini, Senior Vice President, eVestment Alliance, LLC

Webcast Discussion Includes:

  • Industry views of the marketplace
  • Trends in database searches
  • Consultant interest in GIPS compliance
  • Case studies on best practices when updating databases
  • Internal controls related to the distribution of performance

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Compliance Considerations in the Management of ERISA Assets

November 16

Division
Investment Adviser

Level
Basic

Moderator: Ted Eichenlaub, Partner, ACA Compliance Group

Speaker: Kimberly Shaw Elliott, Partner, Roberts Elliott, LLP

Speaker: David Pickle, Partner, K&L Gates

Webcast Discussion Includes:

  • Parties in Interest
  • Fiduciary standards
  • ERISA bonds
  • Qualified Plan Asset Manager qualifications

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The Compliance Year in Review

December 20

Division
Investment Adviser

Level
Basic

Speaker: Giselle Casella, Sr. Principal Consultant, ACA Compliance Group

Speaker: Marianne O’Doherty, CCO, NISA Investment Advisors

Webcast Discussion Includes:

  • Regulatory updates and current events discussion

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