Live Q&A: Solutions for Common Callenges of the GIPS® Standards
March 11, 2014
Division
GIPS Verification
Speaker: Justin Guthrie, Managing Partner, ACA Performance Services
Speaker: Karyn Vincent, Partner, ACA Performance Services
Webcast Discussion Includes:
- Introduction to ACA Performance Services
- Common client questions
- In depth responses to FAQs
Preparing Your GIPS® Program for an SEC Examination
May 20, 2014
Division
GIPS Verification
Speaker: Alicia Hyde, Partner, ACA Performance Services
Speaker: Rick Dolson, Assistant CCO, NISA Investment Advisors
Webcast Discussion Includes:
- Common GIPS-related deficiencies and solutions
- Preparation for SEC examinations, including example requests
- Risk assessments related to GIPS compliance
- Ongoing compliance maintenance
The Value of GIPS® Compliance: 2014 Manager and Consultant Survey
July 24, 2014
Division
GIPS Verification
Speaker: Justin Guthrie, Managing Partner, ACA Performance Services
Speaker: John Molesphini, Senior Vice President, eVestment
Webcast Discussion Includes:
- Who claims compliance with the GIPS standards and why?
- How important is GIPS compliance to clients, prospects, and consultants/RFPs?
- Does compliance with the GIPS standards vary by geographical location and/or assets under management?
- What trends are expected to play out in the coming years?
Considering GIPS® Compliance? Solutions for Alternative Managers
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
GIPS® Compliance: 2014 Recap and 2015 Outlook
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
AIFMD Annex IV Reporting for US Managers-"The European Form PF"
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
GIPS® New Year’s Resolutions for 2015
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
MiFID II: Understanding and Practical Preparation
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
Independent Broker-Dealer Compliance Roundtable
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
Cybersecurity One Year Post-SEC Alert: What Investment Advisers Need to Know
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
Compliance Roundtable Webcast for Bank Affiliated Broker-Dealers
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
Calculating and Reporting Performance: Identifying and Controlling Regulatory Risk
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
SFC's Focus on Electronic Trading and Cybersecurity
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
GIPS Compliance for Credit Managers
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
GIPS Compliance for Hedge Fund and Fund of Funds Managers
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
GIPS Compliance for Real Estate Managers
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
Compliance Roundtable for Municipal Underwriters and Municipal Advisors
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
Performance in Practice for Asset Owners & the Application of the GIPS® Standards
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
Broker-Dealers Regarding Mutual Fund Fee Waivers
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
UK University Series - Introduction to Managing a ’40 Act Fund
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
UK University Series - Considerations for Doing Business in the U.S.
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
Managing Regulatory Examinations Across Regulated Entities
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
2015 Broker-Dealer Best Practices Survey Results
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?
Minimizing Regulatory Risk: Performance Reporting Considerations for Private Equity Managers
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
Highlights from the 2015 GIPS Standards Annual Conference
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
What Hedge Fund Managers Need to Know about SEC Enforcement Trends
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
The CCO’s Guide to the GIPS® Standards: Essentials for Understanding and Mitigating Risk
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
MiFID II: Paying for Research and Other Recent Developments
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
