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

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

April 14, 2016

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

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

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

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

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

November 10, 2016

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

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