You are here: Home > Free Webcasts
Sort By:
Page of 5
Mutual Fund Fee Waivers

July 21, 2015

Division
Broker Dealer

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

Speaker: Jeffrey Kalinowski, Partner, Bryan Cave

Speaker: Jeffrey Ziesman, Partner, Bryan Cave

Webcast Discussion Includes:

  • Identifying mutual fund fee waivers for retirement and charitable accounts
  • Developing controls for the supervision of appropriate mutual fund share class sales in retirement and charitable accounts
  • Identifying the scope of mutual fund fee waiver issues and self-reporting
  • SEC and FINRA regulatory guidance and exam and enforcement activity
  • Issues involving potential remediation to customers


Qty Add
Compliance Roundtable for Municipal Underwriters and Municipal Advisors

June 23, 2015

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: James Brigagliano, Partner, Sidley Austin LLP

Speaker: Nancy Johnson Jones, Chief Compliance Officer, BOSC

Speaker: Dan Campbell, Managing Director, ACA Compliance Group

Speaker: Dave Sanchez, Counsel, Sidley Austin LLP

Speaker: Leo Karwejna, Chief Compliance Officer, PFM Asset Management

Webcast Discussion Includes:

  • For Underwriters
    • Underwriter obligations
    • The MCDC initiative
    • The hunt for missing disclosures
  • For Municipal Advisors
    • Supervision
    • Licensing and qualification
    • Pay to play
    • Examination scrutiny

Qty Add
Performance in Practice for Asset Owners & the Application of the GIPSŪ Standards

June 23, 2015

Division
GIPS Verification

Speaker: Alicia Hyde, Partner, ACA Performance Services

Speaker: Hope Celani, Lead Consultant - Global Risk Solutions, BNY Mellon Asset Servicing

Webcast Discussion Includes:

  • Preparing and presenting performance returns
  • Building a performance track-record
  • Fundamentals of the GIPS standards as they relate to asset owners
  • Common questions and issues experienced by asset owners

Qty Add
GIPS Compliance for Real Estate Managers

May 21, 2015

Division
GIPS Verification

Speaker: Charlie Stout, Partner, ACA Performance Services

Speaker: James Hendricksen, Senior Principal Consultant, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Quantify resources needed to attain GIPS compliance
  • Common implementation challenges and solutions, including:
    • Defining the firm for GIPS purposes
    • Defining discretion
    • Defining composites
    • Performance challenges
    • What, if anything, claiming compliance changes from a marketing perspective

Qty Add
GIPS Compliance for Hedge Fund and Fund of Funds Managers

May 20, 2015

Division
GIPS Verification

Speaker: Charlie Stout, Partner, ACA Performance Services

Speaker: Coley McKinstry, Managing Director, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Quantify resources needed to attain GIPS compliance
  • Common implementation challenges and solutions, including:
    • Defining the firm for GIPS purposes
    • Defining discretion
    • Defining composites
    • Performance challenges
    • What, if anything, claiming compliance changes from a marketing perspective

Qty Add
GIPS Compliance for Credit Managers

May 19, 2015

Division
GIPS Verification

Speaker: Charlie Stout, Partner, ACA Performance Services

Speaker: Kamelia Dari, Managing Director, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Quantify resources needed to attain GIPS compliance
  • Common implementation challenges and solutions, including:
    • Defining the firm for GIPS purposes
    • Defining discretion
    • Defining composites
    • Performance challenges
    • What, if anything, claiming compliance changes from a marketing perspective

Qty Add
SFC's Focus on Electronic Trading and Cybersecurity

May 14, 2015

Division
Asia

Speaker: Kakuko Takagi, Principal Consultant, ACA Compliance (Asia)

Speaker: Roy Lau, Principal Consultant, ACA Compliance (Asia)

Speaker: Anand Mohabir, Principal Consultant, ACA Aponix

Webcast Discussion Includes:

  • Recently adopted SFC electronic trading rules and cybersecurity guidance
  • Observations from recent SFC inspections of the electronic trading systems and cybersecurity practices of licensed corporations
  • Industry adopted sound practices with respect to electronic trading and information security systems and controls
  • Practical tips for implementing changes to address electronic trading rules and cybersecurity guidance

Qty Add
Calculating and Reporting Performance: Identifying and Controlling Regulatory Risk

April 30, 2015

Division
GIPS Verification

Speaker: Karen Foley, Managing Director, ACA Performance Services

Speaker: Christie Dillard Horsman, Director of Client Development, ACA Performance Services

Webcast Discussion Includes:

  • How compliance staff can better understand and assess risks associated with performance return calculations
  • The need for strong controls around generating and disseminating investment performance
  • Data retrieval concerns and the ability to provide supporting books and records in a timely manner
  • Challenges with maintaining books and records during system conversions
  • The adequacy of books and records that support marketed performance
  • The consistent use of performance throughout an organization
  • How to ensure marketing disclosures meet regulatory requirements

Qty Add
Compliance Roundtable Webcast for Bank Affiliated Broker-Dealers

April 28, 2015

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: David Porteous, Partner, Faegre Baker Daniels

Speaker: Jeff Suhanic, Chief Compliance Officer, PNC Investments, LLC

Webcast Discussion Includes:

  • Regulatory jurisdictions
  • Risks with employees wearing multiple hats
  • Supervision
  • Training

Qty Add
Cybersecurity One Year Post-SEC Alert: What Investment Advisers Need to Know

March 31, 2015

Division
Cybersecurity and Risk

Speaker: Raj Bakhru, Partner, ACA Aponix

Speaker: Marc Lotti, Partner, ACA Aponix

Webcast Discussion Includes:

  • Where the SEC stands
  • Issues Investment Advisers face
  • Common misconceptions of cybersecurity protections
  • Industry trends
  • What CCO/COO/CTOs should be doing

Qty Add
To add the above items to your cart, click the "Add" checkboxes then click "Add To Cart" >>>