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Broker-Dealer Registration Issues for Investment Advisers
Broker-Dealer Registration Issues for Investment Advisers

February 20, 2014

Division
Investment Adviser

Speaker: Dan Campbell, Senior Principal Consultant, ACA Compliance Group
Speaker: Anthony Perez, Principal Consultant, ACA Compliance Group
Speaker: Hillel Cohn, Partner, Morrison & Foerster LLP


Webcast Discussion Includes:

  • Payment of transaction-based compensation by private fund managers
  • Transaction fees earned by private equity investment managers
  • SEC guidance and enforcement cases relating to unregistered broker-dealers
  • Potential exemptions from broker-dealer registration

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Privacy, Identity Theft, and Cybersecurity
Privacy, Identity Theft, and Cybersecurity

April 3, 2014

Division
Investment Adviser

Speaker: Michael Abbriano, Principal Consultant, ACA Compliance Group
Speaker: Alan Charles Raul, Partner, Sidley Austin LLP
Speaker: Edward R. McNicholas, Partner, Sidley Austin LLP


Webcast Discussion Includes:

  • Regulatory requirements relating to privacy issues
  • Practical tips for protecting personal information
  • Identifying the "red flags" of identity theft
  • Addressing the risks of identity theft

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Things to Consider When Starting a Mutual Fund
Things to Consider When Starting a Mutual Fund

May 8, 2014

Division
Investment Company

Speaker: Erik Olsen, Senior Principal Consultant, ACA Compliance Group
Speaker: Nathan Greene, Partner, Shearman & Sterling LLP
Speaker: Elyse Waldinger, COO, R Squared Capital Management


Webcast Discussion Includes:

  • Mutual fund structures
  • Mutual fund regulatory framework
  • Parties involved with mutual fund's operations
  • Portfolio restrictions and guidelines
  • Registration process and ongoing filing requirements

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Discussion of Results: Compliance Survey for Alternative Fund Managers, Part 3
Discussion of Results: Compliance Survey for Alternative Fund Managers, Part 3

June 3, 2014

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

Division
Investment Adviser

Speaker: Jack Rader, Senior Principal Consultant, ACA Compliance Group
Speaker: Colleen Marencik, Senior Principal Consultant, ACA Compliance Group


Webcast Discussion Includes:

  • Marketing and Advertising - In this area, the survey covers compliance controls and testing related to private fund advertising, compliance with relevant JOBS Act provisions, and potential broker-dealer Registration.
  • Valuation - This segment centers on the use of formal valuation committees, valuation oversight in general, the use of third-party valuation agents, and ongoing compliance testing.
  • Transactions and Counterparties - Here the survey concentrates on factors considered in the selection of trading counterparties, policies and other considerations related to co-investment offerings, cross trades, and best execution assessments.

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Practical Tips for Developing Written Policies and Procedures
Practical Tips for Developing Written Policies and Procedures

June 5, 2014

Division
Investment Adviser

Speaker: Josh Broaded, Managing Director, ACA Compliance Group
Speaker: Bill Hedden, Chief Operating Officer, Summit Rock Advisors


Webcast Discussion Includes:

  • Regulatory requirements and explanations relating to written policies and procedures
  • Process of developing and maintaining customized procedures to address specific risks
  • Delegating responsibility within a Compliance Manual
  • Ongoing monitoring and testing
  • Promoting a culture of compliance

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Discussing the Results of the 2014 Investment Management Compliance Testing Survey
Discussing the Results of the 2014 Investment Management Compliance Testing Survey

June 11, 2014

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

Division
Investment Adviser

Speaker: Lynne M. Carreiro, Managing Director, ACA Compliance Group
Speaker: Laura L. Grossman, Associate General Counsel, Investment Adviser Association
Speaker: Amy Yuter, Vice President and Senior Compliance Manager, Old Mutual Asset Management


Webcast Discussion Includes Survey Results For:

  • Cybersecurity
  • Custody/Identity Theft/Red Flags
  • Valuation
  • Proxy Voting Policies and Procedure
  • International Regulatory Compliance (including the impact of AIFMD)

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Compliance Considerations for Fixed Income Investments
Compliance Considerations for Fixed Income Investments

June 24, 2014

Division
Investment Adviser

Speaker: Shannon Behara, Partner, ACA Compliance Group
Speaker: Derek Meisner, General Counsel and Chief Compliance Officer, Regiment Capital Management LLC


Webcast Discussion Includes:

  • Cross trades and other trading issues
  • Best execution analysis
  • Valuation considerations
  • Risk management

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FATCA Considerations for Private Fund Managers
FATCA Considerations for Private Fund Managers

July 10, 2014

11:00 am EST

Division
Investment Adviser

Speaker: Kristina Staples, Senior Principal Consultant, ACA Compliance Group
Speaker: Laura L. Ross, Partner, EisnerAmper LLP
Speaker: Joan Grant, Of Counsel, Shartsis Fiese LLP


Webcast Discussion Includes:

  • Overview of the Foreign Account tax Compliance Act and its requirements, as well as regulatory guidance issued by the Treasury Department and the IRS
  • The effect that FATCA has on U.S. and foreign alternative investment funds
  • Conducting an internal FATCA assessment
  • Penalties for failure to comply

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Investment Adviser Marketing Considerations – Traditional
Investment Adviser Marketing Considerations Traditional

July 29, 2014

11:00 am EST

Division
Investment Adviser

Speaker: Mark Lawler, Principal Consultant, ACA Compliance Group
Speaker: Steven Hansen, Partner, Bingham McCutchen LLP


Webcast Discussion Includes:

  • Advertising Rule under the Advisers Act
  • Key no-action letters
  • Performance advertising and disclosures
  • Common SEC findings

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Investment Adviser Marketing Considerations – Private Fund Managers
Investment Adviser Marketing Considerations Private Fund Managers

August 5, 2014

11:00 am EST

Division
Investment Adviser

Speaker: Erik Olsen, Senior Principal Consultant, ACA Compliance Group
Speaker: Douglas Charton, Associate, K&L Gates LLP
Speaker: Simon Saddleton, Associate, Sidley Austin LLP


Webcast Discussion Includes:

  • Fundraising dos and don'ts
  • Use of third party placement agents
  • Preparation of marketing materials
  • The JOBS Act and private placement rules

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