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Compliance Roundtable Webcast for Bank-Affiliated Broker-Dealers

March 1, 2016

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: Brian Rubin, Partner, Sutherland Asbill & Brennan

Speaker: Paul Mann, Chief Compliance Officer, FTB Advisors, Inc.

Webcast Discussion Includes:

  • CCO Liability
  • Elder Financial Abuse and diminished client capacity issues
  • Non-traditional (alternative) fund due diligence and supervision
  • Surveillance:
    • Mutual funds and variable annuities, especially direct business
    • Brokerage accounts

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Discussion of the Draft Guidance Statement on Broadly Distributed Pooled Funds

February 24, 2016

Division
GIPS Verification

Speaker: Karyn Vincent, Managing Partner, ACA Performance Services

Speaker: Ann Putallaz, Principal, AFP Consulting

Webcast Discussion Includes:

  • Which pooled funds are within the scope of the guidance?
  • Who is a prospective pooled fund investor?
  • What are the required items to present?
  • Where must the required items be included?
  • What are net/net returns, how are they calculated, and when must they be presented?
  • Is a compliant presentation required to be provided to prospective pooled fund investors?

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FINRA Hot Topics for 2016

February 23, 2016

Division
Broker Dealer

Speaker: Thomas Grygiel, Principal Consultant, ACA Compliance Group

Speaker: Ivan Knauer, Partner, Pepper Hamilton LLP

Webcast Discussion Includes:

  • Sales charge waiver/discounts
  • Suitability and concentration: excess concentration in high-risk products
  • AML controls: suspicious activity and microcap securities
  • Outside business activities and private securities transactions
  • Culture, conflicts of interest, and ethics

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MiFID II: Paying for Research and Other Recent Developments

February 4, 2016

Division
Europe

Speaker: Martin Lovick, Principal Consultant, ACA Compliance Europe

Speaker: James Andrews, Principal Consultant, ACA Compliance Europe

Webcast Discussion Includes:

  • Possible revisions to the MiFID II implementation timetable
  • The relevance of the reforms to Alternative Investment Fund Managers
  • bond market transparency and the impact on liquidity
  • Best execution
  • Transaction reporting
  • Commission sharing arrangements and paying for research

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The CCO’s Guide to the GIPS® Standards: Essentials for Understanding and Mitigating Risk

November 12, 2015

Division
GIPS Verification

Speaker: Alicia Hyde, Partner, ACA Performance Services

Speaker: Bobby Ankar, Senior Principal Consultant, ACA Performance Services

Webcast Discussion Includes:

  • Fundamentals of Compliance
  • Responsibilities of GIPS-Compliant firms
  • Common GIPS-related deficiencies
  • Recordkeeping requirements
  • Preparation and maintenance of GIPS policies and procedures manuals
  • The distribution of performance and marketing material

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What Hedge Fund Managers Need to Know about SEC Enforcement Trends

October 1, 2015

Division
Investment Adviser

Speaker: William V. de Cordova, Editor-in-Chief, The Hedge Fund Law Report

Speaker: Barry P. Schwartz, Founding Partner, ACA Compliance Group

Speaker: Kent Wegrzyn, Managing Director, Hedge Fund Practice Leader, ACA Compliance Group

Speaker: Mark Borrelli, Partner, Sidley Austin LLP

Webcast Discussion Includes:

  • Conflicts of Interest
  • Private Fund Fees and Expenses
  • Compliance Resources and CCO Liability
  • Technology and Compliance Systems

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Highlights from the 2015 GIPS Standards Annual Conference

September 29, 2015

Division
GIPS Verification

Speaker: Karyn D. Vincent, Managing Partner, ACA Performance Services

Webcast Discussion Includes:

  • Highlights from the conference
  • Review of session topics:
    • preparing for an SEC Exam
    • fee transparency
    • insights on manager search and selection

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Minimizing Regulatory Risk: Performance Reporting Considerations for Private Equity Managers

September 9, 2015

Division
GIPS Verification

Speaker: Justin Guthrie, Managing Partner, ACA Performance Services

Speaker: Jack Rader, Managing Director, Private Equity Practice Leader, ACA Compliance Group

Webcast Discussion Includes:

  • Books and records support
  • Return stream considerations
  • IRR vs. time weighted returns
  • Fee considerations such as waterfall calculations, clawbacks, and hurdles
  • Appropriate disclosures
  • Hypothetical performance information

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UK University Series - 2015 Hot Topics, SEC Examination Priorities and Regulatory Developments

August 26, 2015

Division
Europe

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Brett S. Niehaus, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • The National Examination Program
  • Hot Topic: Current SEC Examination Priorities
  • Hot Topic: Recent SEC Enforcement Actions
  • Anticipated Regulatory Developments

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UK University Series - The SEC vs. the FCA – Managing a Dual Regulator Compliance Program

August 12, 2015

Division
Europe

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Flavia Anderson, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Introduction to the Regulators
  • Registration versus Authorisation
  • Regulations and Guidance
  • Managing a Dual Compliance Programme

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