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Investment Adviser Regulatory Filings Requirements

January 13, 2015

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Jonathan Miller, Partner, Sidley Austin LLP
Speaker: Kevin Campion, Partner, Sidley Austin LLP


Webcast Discussion Includes:

  • Exchange Act filings, including Schedules 13G and Forms 3, 4, 5, 13F, and 13H
  • An overview of SEC enforcement actions relating to ownership filings
  • Form PF
  • Form D and "Blue Sky Filings"


    *Please note: This webcast will not address Form ADV. Please see the webcast scheduled for February 10, 2015 for issues relating to Form ADV.

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All About Form ADV

February 10, 2015

Division
Investment Adviser

Speaker: Rhea Shelton, Senior Principal Consultant, ACA Compliance Group
Speaker: Hanh Nguyen, Consultant, ACA Compliance Group


Webcast Discussion Includes:

  • Form ADV filing obligations - exempt reporting adviser vs. fully-registered adviser
  • Form ADV deadlines and delivery requirements
  • Common questions and concerns when completing the Form ADV
  • Q&A with ACA's Form ADV experts

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Hot FINRA Topics for 2015

February 17, 2015

Division
Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group
Speaker: Brian Rubin, Partner, Sutherland Asbill & Brennan LLP


Webcast Discussion Includes:

  • 2014 FINRA Actions
  • New Supervision Rules
  • Risk Management
  • Conflicts
  • Cybersecurity
  • Variable Annuities
  • Private Placements
  • IRA/Wealth Events

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Compliance with Rule 105 of Regulation M

March 10, 2015

Division
Investment Adviser

Speaker: Joel Stocksdale, Senior Principal Consultant, ACA Compliance Group
Speaker: Ken Harman, Consultant, ACA Compliance Group
Speaker: Edward Dartley, Partner, Pepper Hamilton LLP


Webcast Discussion Includes:

  • Understanding the Rule 105 restricted period
  • Exceptions to the rule's trading prohibitions
  • Implications for violating the rule
  • Practices and controls to promote compliance with the rule

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Institutional Challenges

April 7, 2015

Division
Broker Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group
Speaker: John Crowe, Chief Compliance Officer, Evercore Group, LLC
Speaker: Edward Balsman, Chief Compliance Officer, Tudor, Pickering, Holt & Co. Securities, Inc.
Speaker: Brandon Klerk, Chief Compliance Officer, Incapital LLC


Webcast Discussion Includes:

  • Conflicts and the Control Room Function
  • Due Diligence Documentation and Supervision
  • Trade Monitoring
  • Research Challenges (including Trading desk Research)
  • Development of Risk Management Programs

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SEC Hot Topics for 2015

April 14, 2015

Division
Investment Adviser

Speaker: Dan Campbell, Managing Director, ACA Compliance Group
Speaker: Joseph DiGiglio, Principal Consultant, ACA Compliance Group
Speaker: John Walsh, Partner, Sutherland Asbill & Brennan LLP


Webcast Discussion Includes:

  • Cybersecurity
  • Alternative and fixed income funds
  • Conflicts of interest
  • Expense allocation
  • Insider trading update

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Discussing the Results of the 2015 Investment Management Compliance Testing Survey

June 9, 2015


*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: Sanjay Lamba, Assistant General Counsel, Investment Adviser Association


Webcast Discussion Includes Survey Results For:

  • Business Continuity Planning
  • Alternative Investment Products
  • Oversight of Third Parties
  • E-Mail Review and Testing
  • Trading Issues and Errors
  • Personal Trading/Code of Ethics
  • Enterprise Risk Management
  • Cybersecurity
  • Social Media

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Forensic Testing for Small to Mid-Sized Advisers Part 1

June 30, 2015

11:00 am EST

Division
Investment Adviser

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group
Speaker: Kimberly Daly, Senior Principal Consultant, ACA Compliance Group
Speaker: Jeffrey Ziesman, Partner, Bryan Cave


Webcast Discussion Includes:

  • Trading and portfolio management
  • Proxy Voting
  • Custody
  • Valuation
  • Fees and Expenses

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Forensic Testing for Small to Mid-Sized Advisers Part 2

July 28, 2015

11:00 am EST

Division
Investment Adviser

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group
Speaker: Kimberly Daly, Senior Principal Consultant, ACA Compliance Group
Speaker: Jeffrey Ziesman, Partner, Bryan Cave


Webcast Discussion Includes:

  • Code of ethics compliance
  • Marketing and other public communications
  • Regulatory filings
  • Reviews of electronic communications

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Discussion of Results: 2015 Alternative Fund Manager Compliance Survey Results

August 13, 2015

11:00 am EST

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

Division
Investment Adviser

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

Speaker: Tessa Carbone, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Controls Related to Receipt of Material Nonpublic Information
  • Fund Expenses
  • Electronic Communications Review

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