March 8, 2017

11:00 am EST

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Jonathan Miller, Senior Counsel, ACA Compliance Group

Webcast Discussion Includes:

• An Overview and key concepts, including background information, thresholds, and types of private funds
• Section breakdown and guidance on specific questions
• Other Form PF considerations such as fund of funds, quarterly filings, and filing findings

April 27, 2017

Division
Investment Adviser

Speaker: Danielle Joseph, Senior Principal Consultant, ACA Compliance Group

Speaker: Tessa Carbone, Principal Consultant, ACA Compliance Group

Webcast Discussion Includes:

• Controls related to the receipt of Material Nonpublic Information
• Fund Expenses
• Business Continuity

June 8, 2017

Division
Investment Adviser

Speaker: Lynne Carreiro, Managing Director, ACA Compliance Group

Speaker: Sanjay Lamba, Associate General Counsel, Investment Adviser Association

Speaker: Amy Yuter, Deputy Chief Compliance Officer, Old Mutual Asset Management

Webcast Discussion Includes:

• Branch Office Supervision
• Use of Automation
• Fees and Expenses
• Wrap Programs
• Whistleblowing
• Business Continuity and Transition Planning
• New Regulations
• International Regulation (MiFID II)