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Form PF for Annual Filers

March 8, 2017

11:00 am EST

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Jonathan Miller, Senior Counsel, ACA Compliance Group


Webcast Discussion Includes:

  • An Overview and key concepts, including background information, thresholds, and types of private funds
  • Section breakdown and guidance on specific questions
  • Other Form PF considerations such as fund of funds, quarterly filings, and filing findings


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Discussion of Results: 2017 Compliance Survey for Alternative Fund Managers

April 27, 2017

*Please Note: The C3 Coupon Code does not apply to this event*

Division
Investment Adviser

Speaker: Danielle Joseph, Senior Principal Consultant, ACA Compliance Group

Speaker: Tessa Carbone, Principal Consultant, ACA Compliance Group


Webcast Discussion Includes:

  • Controls related to the receipt of Material Nonpublic Information
  • Fund Expenses
  • Business Continuity

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2017 Investment Management Compliance Testing Survey Results Webcast

June 8, 2017

*Please Note: The C3 Coupon Code does not apply to this event*

Division
Investment Adviser

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Sanjay Lamba, Associate General Counsel, Investment Adviser Association

Speaker: Amy Yuter, Deputy Chief Compliance Officer, Old Mutual Asset Management


Webcast Discussion Includes:

  • Branch Office Supervision
  • Use of Automation
  • Fees and Expenses
  • Wrap Programs
  • Whistleblowing
  • Business Continuity and Transition Planning
  • New Regulations
  • International Regulation (MiFID II)

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