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Discussion of Results: Spring 2018 Alternative Fund Manager Compliance Survey 2018 Investment Management Compliance Testing Survey Results Webcast Discussion of Results: 2018 Fall Alternative Fund Manager Survey Webcast
ACA Compliance Group invites you to join our live webcast discussing the results of our Alternative Fund Manager Survey on Thursday, April 26th at 11:00 a.m. - 12:15 p.m. Eastern Time.
This is the tenth survey of our ongoing series and is focused on electronic communications, compliance programs, personal trading, and anti-bribery and corruption. During ACA’s last iteration of this survey series in September 2017, we received nearly 270 responses.
Our webcast presenters will discuss our findings on topics such as:
  • Electronic Communications
  • Compliance Program Rule
  • Personal Trading
  • Anti-Bribery and Corruption (“ABC”)
Survey participants may attend this webcast free of charge. To access the event at no fee, please be sure to use the code you received after completing the survey.
Individuals who did not participate in the survey are welcome to attend the webcast. The fee to attend is $225. This webcast is not eligible for the C3 client discount code. Please contact webcastinfo@acacompliancegroup.com for more details.
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 Thursday, June 14 at 2:00 PM ET as ACA's Enrique Carlos Alvarez and IAA's Sanjay Lamba and Sarah A. Buescher 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.

This is the 13th anniversary of the Investment Management Compliance Testing Survey and each year we seek to gather information for the purpose of reporting on industry trends since the initial launch of the survey in 2006.

This year's survey covered a range of topics, including:
  • Data Analytics
  • Fees & Expenses
  • Advertising/Social Media
  • Custody
  • Cryptocurrency
  • Soft Dollars
  • Best Execution
  • Individual Clients
  • Investment Mandates
If the date and time do not work for you, as part of your registration, an archived version of the live event will automatically be emailed to you when it becomes available.

Survey participants may attend this webcast free of charge. To access the event at no fee, please be sure to use the code you received after completing the survey.

Individuals who did not participate in the survey are welcome to attend the webcast. The fee to attend is $225. This webcast is not eligible for the C3 client discount code. Please contact webcastinfo@acacompliancegroup.com for more details.
ACA recently closed its eleventh survey in a series that focuses on the novel and complex issues facing of hedge fund and illiquid fund (e.g., private equity, real estate, venture, infrastructure) managers compliance professionals. We are pleased to report receiving 220 responses! The information we collected will be reviewed during our "Discussion of Results: 2018 Compliance Survey for Alternative Fund Managers webcast.” Please join us for this event on Thursday, October 11, 2018, from 2 p.m. to 3:15 p.m. EST.

The webcast presenters, Colleen Marencik and Tessa Carbone of ACA Compliance Group, will analyze issues raised in the survey. These include the following topics:

  • Fees and Expenses – This portion of the webcast focuses on the types of expenses charged to private funds, the income received by fund managers and any associated management fee offsets, the controls, policies, and procedures related to fund expenses, and policies and procedures related to the calculation and deduction of management and incentive fees.
  • Controls Related to the Receipt of Material Nonpublic Information – Colleen and Tessa will discuss information barriers, restricted lists, interaction with industry experts and consultants, corporate access, and training.
  • Custody and Safekeeping of Client Assets – This discussion centers on compliance with the GAAP audit requirement for private funds and any SPV or co-investment vehicles, and capital control and reconciliation best practices.

Survey participants may attend this webcast free of charge. To access the event at no fee, please be sure to use the code you received after completing the survey.

Individuals who did not participate in the survey are welcome to attend the webcast. The fee to attend is $225. This webcast is not eligible for the C3 client discount code. Please contact webcastinfo@acacompliancegroup.com for more details.