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Exempt Reporting Advisers - Regulatory Requirements and Best Practices

February 18, 2016

Division
Investment Adviser

Speaker: Brett Niehaus, Consultant, ACA Compliance Group
Speaker: Ken Harman, Consultant, ACA Compliance Group
Speaker: Kimberly Versace, Counsel, Richard Kibbe & Orbe, LLP


Webcast Discussion Includes:

  • Regulatory obligations and compliance best practices for ERAs
  • Recordkeeping and filing requirements
  • SEC examinations
  • Transitioning to full registration


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SEC Hot Topics for 2016

March 8, 2016

Division
Investment Adviser

Speaker: Alyssa Briggs, Principal Consultant, ACA Compliance Group
Speaker: Lee Ann Wilson, Principal Consultant, ACA Compliance Group
Speaker: Jason E. Brown, Partner, Ropes & Gray LLP


Webcast Discussion Includes:

  • SEC staff examination priorities for 2016
  • Highlights from the OCIE's 2016 examination priorities
  • Focus areas for DEAMU
  • Cyber security Updates


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Discussion of Results: 2016 Alternative Fund Manager Compliance Survey Results

April 14, 2016

*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: Ken Harman, Consultant, ACA Compliance Group


Webcast Discussion Includes:

  • Marketing and Advertising
  • Valuation
  • Transactions and Counterparties
  • Cybersecurity

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Electronic Communications - Lessons From The Trenches

May 10, 2016

Division
Investment Adviser

Speaker: John Jacobs, Principal Consultant, ACA ARC
Speaker: Sean McKeveny, Senior Data Analyst, ACA ARC


Webcast Discussion Includes:

  • Conducting risk-based electronic communications reviews
  • Fine-tuning key word searches
  • Addressing issues identified during reviews
  • Real-life examples and case studies


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Gifts and Entertainment

July 19, 2016

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
  • Special Considerations for certain types of recipients
  • Compliance oversight and testing


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Oversight of the Marketing Process

September 13, 2016

Division
Investment Adviser

Speaker: Matthew Shepherd, Consultant, ACA Compliance Group
Speaker: Luis Garcia, Consultant, ACA Compliance Group
Speaker: Michael D. Saarinen, Counsel, Goodwin Procter LLP


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

Division
Investment Adviser

Speaker: Ali Delman, Senior Principal Consultant, ACA Compliance Group
Speaker: Erika Chua, Consultant, ACA Compliance Group
Speaker: Lisa Klar, Senior Counsel, Simpson Thacher


Webcast Discussion Includes:

  • SEC rulemaking and proposed rules
  • SEC initiatives and new offices
  • Trends in examination structure, focus areas, and findings
  • Enforcement trends


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Discussion of Results: 2016 Alternative Fund Manager Compliance Survey Results

November 10, 2016

*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: Brian Lattanzio, Senior Compliance Analyst, ACA Compliance Group


Webcast Discussion Includes:

  • Compliance Rule Program
  • Custody and Safekeeping of Client Assets
  • Personal Trading
  • Anti-Money Laundering

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The Compliance Year in Review

December 1, 2016

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Sara Beier, Senior Principal Consultant, ACA Compliance Group
Speaker: Jeff Ziesman, Partner, Bryan Cave LLP
Speaker: Sofya Abrams, Counsel, Sidley Austin LLP


Webcast Discussion Includes:

  • Noteworthy enforcement actions
  • Examination trends
  • SEC focus areas and risk alerts
  • Regulatory horizon


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