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Gifts and Entertainment

July 19, 2016

11:00 am EST

Division
Investment Adviser

Speaker: Michael Abbriano, Senior Principal Consultant, ACA Compliance Group
Speaker: Shoshana Thoma-Igur, Principal Consultant, ACA Compliance Group
Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group


Webcast Discussion Includes:

  • Setting appropriate limits
  • Reporting obligations
  • Discounts from service providers and affiliates
  • Compliance oversight and testing


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Oversight of the Marketing Process

September 13, 2016

11:00 am EST

Division
Investment Adviser

Speaker: Matthew Shepherd, Consultant, ACA Compliance Group
Speaker: Luis Garcia, Consultant, ACA Compliance Group
Speaker: TBD


Webcast Discussion Includes:

  • Practical suggestions and ideas to help ensure that the marketing process is efficient, supervised, and documented
  • Documenting compliance reviews of marketing materials
  • Ensuring data accuracy
  • Avoiding general solicitations
  • Overseeing third-party marketers


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SEC Trends and Initiatives

October 11, 2016

11:00 am EST

Division
Investment Adviser

Speaker: Ali Delman, Senior Principal Consultant, ACA Compliance Group
Speaker: Erika Chua, Consultant, ACA Compliance Group
Speaker: TBD


Webcast Discussion Includes:

  • TBD


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The Compliance Year in Review

December 1, 2016

11:00 am EST

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Sara Beier, Principal Consultant, ACA Compliance Group
Speaker: TBD


Webcast Discussion Includes:

  • TBD


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