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2013 Investment Management Compliance Benchmarking Survey Results Presentation 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