2010 Webcasts

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2013 Investment Management Compliance Benchmarking Survey Results Presentation Our Price: $100.00	Data Protection, Information Security and Cybercrime	Surviving a Regulatory Audit

June 11, 2013 Speaker: Lynne M. Carreiro, Senior Principal Consultant, ACA Compliance Group Speaker: Laura Grossman, Assistant General Counsel, Investment Advisor Association Webcast Discussion Includes: When it comes to your compliance program are you doing all you should be doing? Do you wonder how you are measuring up? Join us as Lynne M. Carreiro of ACA Compliance Group and Laura Grossman of the IAA present the results of this year’s survey and provide industry insight regarding best practices for monitoring your compliance program, emerging trends in the administration of compliance, and hot issues in Investment Adviser compliance. In addition, the speakers will provide practical observations regarding the results of the survey.	February 21, 2013 Division Investment Adviser Speaker: Barry Schwartz, Partner, ACA Compliance Group Speaker: Harvey Gross, COO, Cyber Security Auditors & Administrators LLC Webcast Discussion Includes: State and federal security requirements that investment advisers, broker-dealers, and hedge fund managers need to know Cyber crime and how to protect your firm What information controls and systems do regulators expect to see	June 26, 2013 Division Broker Dealer Speaker: Anthony Perez, Principal Consultant, ACA Compliance Group Speaker: John Crowe, Chief Compliance Officer, Evercore Group, LLC Speaker: Samuel Turvey, Chief Compliance Officer, TIAA-CREF Individual and Institutional Services, LLC Speaker: John Sertic, Senior Compliance Advisor, Fidelity Brokerage Services, LLC Webcast Discussion Includes: Preparation for Audit Notification from Regulator Audit Fieldwork Exit Interview Examination Report Follow-up


Waving the Red Flags – A Discussion of the SEC and CFTC Identity Theft Rules	SEC Examination and Enforcement Trends	Managing ERISA Assets

July 16, 2013 Division Investment Adviser Speaker: Kristina Kneip Staples, Senior Principal Consultant, ACA Compliance Group Speaker: Karen Livingstone, Project Management Risk and Advisory Services, Enterprise Risk Management Webcast Discussion Includes: A webcast discussing the final Red Flags Rule: The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) jointly issued rules and guidelines requiring entities registered with either agency or otherwise subject to their enforcement powers and also holding “covered accounts” to establish programs to address risks of identity theft.	September 5, 2013 Division Investment Adviser Speaker: Michael Ciambor, Senior Principal Consultant, ACA Compliance Group Speaker: Stephen J. Crimmins, Partner, K&L Gates LLP Speaker: K. Susan Grafton, Partner, K&L Gates LLP Webcast Discussion Includes: Current examination priorities Trends in examination findings and focuses Recent enforcement actions against advisers	October 16, 2013 11:00 am EST Division Investment Adviser Speaker: Ted McGrath, Principal Consultant, ACA Compliance Group Speaker: Scott Webster, Partner, Goodwin Procter Webcast Discussion Includes: Regulatory required disclosures Prohibited transactions Qualified Professional Asset Manager requirements


FINRA Hot Topics for 2013	Reducing the Risk of GIPS Deficiencies in Marketing Performance	Doing Business in Europe under the AIFM Directive

April 24, 2013 Division Broker Dealer Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group Speaker: Alan Wolper, Partner, Ulmer Berne LLP Webcast Discussion Includes: New Proposed Rules or Amendments SEC and FINRA Focus Areas Sweeps	April 30, 2013 Division GIPS Verification Speaker: Mike Sonnenburg, Verification Manager, ACA Compliance Group Beacon Verification Division Speaker: Todd Healy, Director, Head of Investment Operations, BMO Asset Management Corp. Webcast Discussion Includes: Determining who is a prospective client Creating policies and procedures around 0.A.9 requirement Distributing performance presentations at least annually Providing performance to consultant databases RFP’s and Questionnaires Implementing new presentational guidance from the Handbook	May 22, 2013 Division United Kingdom Speaker: Ron Weekes, Partner, ACA Compliance Group - Europe Speaker: Adam Palmer, Director, ACA Compliance Group - Europe Speaker: Richard Timms, Principal Consultant, ACA Compliance Group - Europe Webcast Discussion Includes: Changes effective in 2013 with regard to the marketing of private funds to European investors


The FCPA and UK Bribery Act for Advisers	Maintaining Compliance with the GIPS® Standards: Common Challenges and Solutions	MNPI and Insider Trading Review

May 21, 2013 Division United Kingdom Speaker: Sally McCarthy, Senior Principal Consultant, ACA Compliance Group - Europe Speaker: Andrew J. Dunbar, Partner, Sidley Austin LLP Speaker: Jose F. Sanchez, Partner, Sidley Austin LLP Speaker: Kimberly A. Dunne, Partner, Sidley Austin LLP Webcast Discussion Includes: A survey of the FCPA and UK Bribery Act as applicable to US advisers including, how to structure an effective program and common pitfalls that can lead to trouble	June 25, 2013 Division GIPS Verification Speaker: Charlie Stout, Managing Director, ACA Compliance Group Beacon Verification Division Speaker: John Livewell, Chief Compliance Officer, PENN Capital Management Company, Inc. Webcast Discussion Includes: Considerations when coming into compliance Maintaining GIPS compliance Best practices for internal controls Most common pitfalls and solutions	August 15, 2013 Division Investment Adviser Speaker: Joel Stocksdale, Principal Consultant, ACA Compliance Group Speaker: Greg Kramer, Attorney, Kleinberg, Kaplan, Wolff & Cohen Webcast Discussion Includes: Update on current Insider Trading enforcement Actions A review of common areas of concern Best practices for managing wall crossings


The JOBS Act: Public Offerings and Private Placements	Discussion of Results: 2013 Compliance Survey for Alternative Fund Managers, Part 2 Webcast	The Compliance Year in Review

August 1, 2013 Division Investment Adviser Speaker: Kimberly Daly, Senior Principal Consultant, ACA Compliance Group Speaker: Marc Elovitz, Partner, Schulte Roth and Zabel LLP Webcast Discussion Includes: A discussion of the newly finalized rules implementing the JOBS Act which permit public offerings of unregistered securities including hedge funds as long as private placement rules are observed.	September 12, 2013 Division Investment Adviser Speaker: Danielle Joseph, Senior Principal Consultant, ACA Compliance Group Speaker: Jack Radar, Senior Principal Consultant, ACA Compliance Group Webcast Discussion Includes: Regulatory Filings Controls Related to Receipt of Material Nonpublic Information Fund Expenses	December 4, 2013 11:00 am EST Division Investment Adviser Speaker: Kim Daly, Senior Principal Consultant, ACA Compliance Group Speaker: Eva Marie Carney, Partner, Richards Kibbe & Orbe LLP Webcast Discussion Includes: The SEC’s Red Flags Rules Final passage of the JOBS Act regulations The SEC’s continuing pursuit of insider trading