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Compliance Roundtable Webcast for Bank-Affiliated Broker-Dealers Discussion of the Draft Guidance Statement on Broadly Distributed Pooled Funds FINRA Hot Topics for 2016

March 1, 2016

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: Brian Rubin, Partner, Sutherland Asbill & Brennan

Speaker: Paul Mann, Chief Compliance Officer, FTB Advisors, Inc.

Webcast Discussion Includes:

  • CCO Liability
  • Elder Financial Abuse and diminished client capacity issues
  • Non-traditional (alternative) fund due diligence and supervision
  • Surveillance:
    • Mutual funds and variable annuities, especially direct business
    • Brokerage accounts

February 24, 2016

Division
GIPS Verification

Speaker: Karyn Vincent, Managing Partner, ACA Performance Services

Speaker: Ann Putallaz, Principal, AFP Consulting

Webcast Discussion Includes:

  • Which pooled funds are within the scope of the guidance?
  • Who is a prospective pooled fund investor?
  • What are the required items to present?
  • Where must the required items be included?
  • What are net/net returns, how are they calculated, and when must they be presented?
  • Is a compliant presentation required to be provided to prospective pooled fund investors?

February 23, 2016

Division
Broker Dealer

Speaker: Thomas Grygiel, Principal Consultant, ACA Compliance Group

Speaker: Ivan Knauer, Partner, Pepper Hamilton LLP

Webcast Discussion Includes:

  • Sales charge waiver/discounts
  • Suitability and concentration: excess concentration in high-risk products
  • AML controls: suspicious activity and microcap securities
  • Outside business activities and private securities transactions
  • Culture, conflicts of interest, and ethics
MiFID II: Paying for Research and Other Recent Developments The CCO’s Guide to the GIPS® Standards: Essentials for Understanding and Mitigating Risk What Hedge Fund Managers Need to Know about SEC Enforcement Trends

February 4, 2016

Division
Europe

Speaker: Martin Lovick, Principal Consultant, ACA Compliance Europe

Speaker: James Andrews, Principal Consultant, ACA Compliance Europe

Webcast Discussion Includes:

  • Possible revisions to the MiFID II implementation timetable
  • The relevance of the reforms to Alternative Investment Fund Managers
  • bond market transparency and the impact on liquidity
  • Best execution
  • Transaction reporting
  • Commission sharing arrangements and paying for research

November 12, 2015

Division
GIPS Verification

Speaker: Alicia Hyde, Partner, ACA Performance Services

Speaker: Bobby Ankar, Senior Principal Consultant, ACA Performance Services

Webcast Discussion Includes:

  • Fundamentals of Compliance
  • Responsibilities of GIPS-Compliant firms
  • Common GIPS-related deficiencies
  • Recordkeeping requirements
  • Preparation and maintenance of GIPS policies and procedures manuals
  • The distribution of performance and marketing material

October 1, 2015

Division
Investment Adviser

Speaker: William V. de Cordova, Editor-in-Chief, The Hedge Fund Law Report

Speaker: Barry P. Schwartz, Founding Partner, ACA Compliance Group

Speaker: Kent Wegrzyn, Managing Director, Hedge Fund Practice Leader, ACA Compliance Group

Speaker: Mark Borrelli, Partner, Sidley Austin LLP

Webcast Discussion Includes:

  • Conflicts of Interest
  • Private Fund Fees and Expenses
  • Compliance Resources and CCO Liability
  • Technology and Compliance Systems
Highlights from the 2015 GIPS Standards Annual Conference Minimizing Regulatory Risk: Performance Reporting Considerations for Private Equity Managers UK University Series -  2015 Hot Topics, SEC Examination Priorities and Regulatory Developments

September 29, 2015

Division
GIPS Verification

Speaker: Karyn D. Vincent, Managing Partner, ACA Performance Services

Webcast Discussion Includes:

  • Highlights from the conference
  • Review of session topics:
    • preparing for an SEC Exam
    • fee transparency
    • insights on manager search and selection

September 9, 2015

Division
GIPS Verification

Speaker: Justin Guthrie, Managing Partner, ACA Performance Services

Speaker: Jack Rader, Managing Director, Private Equity Practice Leader, ACA Compliance Group

Webcast Discussion Includes:

  • Books and records support
  • Return stream considerations
  • IRR vs. time weighted returns
  • Fee considerations such as waterfall calculations, clawbacks, and hurdles
  • Appropriate disclosures
  • Hypothetical performance information

August 26, 2015

Division
Europe

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Brett S. Niehaus, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • The National Examination Program
  • Hot Topic: Current SEC Examination Priorities
  • Hot Topic: Recent SEC Enforcement Actions
  • Anticipated Regulatory Developments
UK University Series - The SEC vs. the FCA – Managing a Dual Regulator Compliance Program 2015 Broker-Dealer Best Practices Survey Results Managing Regulatory Examinations Across Regulated Entities

August 12, 2015

Division
Europe

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Flavia Anderson, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Introduction to the Regulators
  • Registration versus Authorisation
  • Regulations and Guidance
  • Managing a Dual Compliance Programme

August 11, 2015

Division
Broker Dealer

Speaker: Francois Cooke, Managing Director, ACA Compliance Group

Speaker: Donald McElligott, Vice President, Global Relay

Speaker: Lisa Crossley, Executive Director, NSCP

Speaker: Alan Wolper, Partner, Ulmer & Berne

Webcast Discussion Includes:

  • What risk-based parameters are firms adopting?
  • What type of training are firms offering for complex products?
  • How do broker-dealers remediate problems found during branch office inspections?
  • How are broker-dealers addressing cybersecurity?

August 6, 2015

Division
Numerous

Speaker: Nick Prokos, Partner, ACA Compliance Group

Speaker: Jon Kropf, Managing Director, ACA Compliance Group

Speaker: Adam Palmer, Managing Director, ACA Compliance Europe

Speaker: Melissa Wheeler, Senior Principal Consultant, ACA Compliance Group

Speaker: Scott Brindley, Senior Principal Consultant, ACA Compliance Group

Speaker: Anthony Perez, Principal Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Types of Regulatory Exams (SEC, FCA, FINRA, NFA)
  • Current Exam Initiatives
  • General Exam Considerations
  • Exam Management Leading Practices
    • Preparing for the exam
    • Protocols during the exam
    • Exam conclusion and next steps
UK University Series - Introduction to Managing a ’40 Act Fund Broker-Dealers Regarding Mutual Fund Fee Waivers UK University Series - Considerations for Doing Business in the U.S.

July 29, 2015

Division
Europe

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Erik Olsen, Senior Principal Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Introduction to Investment Companies
  • Regulatory Framework
  • Mutual Fund Players
  • Registration and Disclosure
  • Investing Rules and Restrictions

July 21, 2015

Division
Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group

Speaker: Jeffrey Kalinowski, Partner, Bryan Cave

Speaker: Jeffrey Ziesman, Partner, Bryan Cave

Webcast Discussion Includes:

  • Identifying mutual fund fee waivers for retirement and charitable accounts
  • Developing controls for the supervision of appropriate mutual fund share class sales in retirement and charitable accounts
  • Identifying the scope of mutual fund fee waiver issues and self-reporting
  • SEC and FINRA regulatory guidance and exam and enforcement activity
  • Issues involving potential remediation to customers

July 15, 2015

Division
Europe

Speaker: Brett S. Niehaus, Consultant, ACA Compliance Group

Webcast Discussion Includes:

  • Registration
  • Exemptions from Registration
  • Exempt Reporting Advisers vs. Registered Investment Advisers
  • Types of Clients
  • Compliance Program
  • SEC Examinations
Compliance Roundtable for Municipal Underwriters and Municipal Advisors Performance in Practice for Asset Owners & the Application of the GIPS® Standards GIPS Compliance for Real Estate Managers

June 23, 2015

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: James Brigagliano, Partner, Sidley Austin LLP

Speaker: Nancy Johnson Jones, Chief Compliance Officer, BOSC

Speaker: Dan Campbell, Managing Director, ACA Compliance Group

Speaker: Madeleine Dowling, Partner, Sidley Austin LLP

Speaker: Leo Karwejna, Chief Compliance Officer, PFM Asset Management

Webcast Discussion Includes:

  • For Underwriters:
    • Underwriter obligations
    • The MCDC initiative
    • The hunt for missing disclosures
  • For Municipal Advisors:
    • Supervision
    • Licensing and qualification
    • Pay to play
    • Examination scrutiny

June 23, 2015

Division
GIPS Verification

Speaker: Alicia Hyde, Partner, ACA Performance Services

Speaker: Hope Celani, Lead Consultant - Global Risk Solutions, BNY Mellon Asset Servicing

Webcast Discussion Includes:

  • Preparing and presenting performance returns
  • Building a performance track-record
  • Fundamentals of the GIPS standards as they relate to asset owners
  • Common questions and issues experienced by asset owners

May 21, 2015

Division
GIPS Verification

Speaker: Charlie Stout, Partner, ACA Performance Services

Speaker: James Hendricksen, Senior Principal Consultant, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Quantify resources needed to attain GIPS compliance
  • Common implementation challenges and solutions, including:
    • Defining the firm for GIPS purposes
    • Defining discretion
    • Defining composites
    • Performance challenges
    • What, if anything, claiming compliance changes from a marketing perspective
GIPS Compliance for Hedge Fund and Fund of Funds Managers GIPS Compliance for Credit Managers SFC's Focus on Electronic Trading and Cybersecurity

May 20, 2015

Division
GIPS Verification

Speaker: Charlie Stout, Partner, ACA Performance Services

Speaker: Coley McKinstry, Managing Director, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Quantify resources needed to attain GIPS compliance
  • Common implementation challenges and solutions, including:
    • Defining the firm for GIPS purposes
    • Defining discretion
    • Defining composites
    • Performance challenges
    • What, if anything, claiming compliance changes from a marketing perspective

May 19, 2015

Division
GIPS Verification

Speaker: Charlie Stout, Partner, ACA Performance Services

Speaker: Kamelia Dari, Managing Director, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Quantify resources needed to attain GIPS compliance
  • Common implementation challenges and solutions, including:
    • Defining the firm for GIPS purposes
    • Defining discretion
    • Defining composites
    • Performance challenges
    • What, if anything, claiming compliance changes from a marketing perspective

May 14, 2015

Division
Asia

Speaker: Kakuko Takagi, Principal Consultant, ACA Compliance (Asia)

Speaker: Roy Lau, Principal Consultant, ACA Compliance (Asia)

Speaker: Anand Mohabir, Principal Consultant, ACA Aponix

Webcast Discussion Includes:

  • Recently adopted SFC electronic trading rules and cybersecurity guidance
  • Observations from recent SFC inspections of the electronic trading systems and cybersecurity practices of licensed corporations
  • Industry adopted sound practices with respect to electronic trading and information security systems and controls
  • Practical tips for implementing changes to address electronic trading rules and cybersecurity guidance
Calculating and Reporting Performance: Identifying and Controlling Regulatory Risk Compliance Roundtable Webcast for Bank Affiliated Broker-Dealers Cybersecurity One Year Post-SEC Alert: What Investment Advisers Need to Know

April 30, 2015

Division
GIPS Verification

Speaker: Karen Foley, Managing Director, ACA Performance Services

Speaker: Christie Dillard Horsman, Director of Client Development, ACA Performance Services

Webcast Discussion Includes:

  • How compliance staff can better understand and assess risks associated with performance return calculations
  • The need for strong controls around generating and disseminating investment performance
  • Data retrieval concerns and the ability to provide supporting books and records in a timely manner
  • Challenges with maintaining books and records during system conversions
  • The adequacy of books and records that support marketed performance
  • The consistent use of performance throughout an organization
  • How to ensure marketing disclosures meet regulatory requirements

April 28, 2015

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: David Porteous, Partner, Faegre Baker Daniels

Speaker: Jeff Suhanic, Chief Compliance Officer, PNC Investments, LLC

Webcast Discussion Includes:

  • Regulatory jurisdictions
  • Risks with employees wearing multiple hats
  • Supervision
  • Training

March 31, 2015

Division
Cybersecurity and Risk

Speaker: Raj Bakhru, Partner, ACA Aponix

Speaker: Marc Lotti, Partner, ACA Aponix

Webcast Discussion Includes:

  • Where the SEC stands
  • Issues Investment Advisers face
  • Common misconceptions of cybersecurity protections
  • Industry trends
  • What CCO/COO/CTOs should be doing
Independent Broker-Dealer Compliance Roundtable MiFID II: Understanding and Practical Preparation GIPS® New Year’s Resolutions for 2015

March 24, 2015

Division
Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group

Speaker: John Goselin, Partner, Freeman Mathis & Gary

Speaker: James Downing, Chief Compliance Officer, BMO Harris Financial Advisors, Inc.

Webcast Discussion Includes:

  • New Supervision Rules
  • Risk Management
  • Conflicts
  • Variable Annuities
  • Complex Products
  • CARDS
  • Cybersecurity

March 12, 2015

Division
Europe

Speaker: James Andrews, Consultant, ACA Compliance Europe

Speaker: Martin Lovick, Consultant, ACA Compliance Europe

Webcast Discussion Includes:

  • Use of dealing commission
  • Best execution
  • Transparency
  • Algorithmic and high frequency trading
  • Transaction reporting

February 12, 2015

Division
GIPS Verification

Speaker: Karyn Vincent, Managing Partner, ACA Performance Services

Speaker: David Terris, Managing Director, ACA Performance Services

Webcast Discussion Includes:

  • Ensuring that GIPS policies and procedures and composite descriptions are current and complete
  • Considerations for usining composite minimums and significant cash flow policies
  • Best practices for outlier review procedures
  • Simplifying composite inclusion timing policies
  • Revisiting error correction policies
  • Calculating net-of-fee returns using model fees
  • Taking a fresh look at disclosures included in GIPS-compliant presentations
AIFMD Annex IV Reporting for US Managers-"The European Form PF" GIPS® Compliance: 2014 Recap and 2015 Outlook Considering GIPS® Compliance? Solutions for Alternative Managers

January 14, 2015

Division
Europe

Speaker: Andrew Welch, European Head of Business Development, ACA Compliance Europe

Speaker: Dileep Bhat, Senior Vice President, ACA Technology Solutions

Speaker: James Andrews, Consultant, ACA Compliance Europe

Webcast Discussion Includes:

  • Introduction to AIFMD Annex IV Report
  • Preparation checklist for the filing process
  • The 5 most important considerations for accurate Annex IV filing
  • Operational factors involved in data mapping and implementation
  • How to submit your filings to each NCA
  • How the ACA RIR Platform helps with filing and submission

December 9, 2014

Division
GIPS Verification

Speaker: Kamelia Dari, Senior Principal Consultant, ACA Performance Services

Speaker: Bobby Ankar, Senior Principal Consultant, ACA Performance Services

Webcast Discussion Includes:

  • The new guidance released in 2014
  • The new requirement for registering your firm's claim of GIPS compliance with the CFA Institute
  • Current SEC focus areas
  • Trends in the adoption of GIPS compliance
  • Best practices for preparing year-end performance reports

September 9, 2014

Division
GIPS Verification

Speaker: Justin Guthrie, Managing Partner, ACA Performance Services

Speaker: Karen Foley, Managing Director, ACA Performance Services

Webcast Discussion Includes:

  • Examples of the institutional investor demand for GIPS compliance
  • Common implementation challenges and solutions
  • Quantify resources needed to attain GIPS compliance