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Category Posts Topics Last Post
Compliance with Rule 105 of Regulation M 126 17 The second half of February
by Diana Piatt
MiFID II - Understanding and Practical Preparation 2 2 almost on par with Blade & So...
by cvdzdf
Hot FINRA Topics for 2015 0 0 No posts
GIPS® New Year’s Resolutions for 2015 594 64 Nike Air Max Womens Security ...
by Joseph Morse
All About Form ADV 135 50 city lumber assist
by wangkiky
Investment Adviser Regulatory Filings Requirements 49 7 What constitutes a group?
by Frederic Rich
     Webcasts 2015
The Compliance Year in Review 29 9 BRM V8-44 MEN WATCH V8-44 ENG...
by Amandav
SEC Trends and Initiatives 0 0 No posts
Investment Adviser Marketing Considerations - Private Fund Managers 417 50 JOBS Act
by Frederic Rich
Investment Adviser Marketing Considerations - Traditional 22 10 Claims
by ACA
FATCA Considerations for Private Fund Managers 21 9 Self-Certification
by honey
Compliance Considerations for Fixed Income Investments 0 0 No posts
Practical Tips for Developing Written Policies and Procedures 0 0 No posts
Things to Consider When Starting a Mutual Fund 39 9 Distribution Costs
by Donald Young
Privacy, Identity Theft and Cybersecurity 4 2 Federally Registered
by ACA
Broker-Dealer Registration Issues for Investment Advisers 30 6 Private Equity Fund Manager
by Melissal
     Webcasts 2014
The Compliance Year in Review 20 4 506(c)
by Estherc
Managing ERISA Assets 14 7 408(b)(2)
by ACA
SEC Examination and Enforcement Trends 43 6 Pay-to-Play
by Estherc
MNPI and Insider Trading Review 17 6 Channel Checks
by xukaimin
The JOBS Act: Public Offerings and Private Placements 62 5 506(b)
by Frederic Rich
Waving the Red Flags - A Discussion of the SEC and Theft Rules 0 0 No posts
Surviving A Regulatory Audit 0 0 No posts
Maintaining Compliance with the GIPS® Standards: Common Challenges and Solutions 0 0 No posts
Doing Business in Europe under the AIFM Directive 69 7 Reverse Solicitation
by Diana Piatt
The FCPA and UK Bribery Act for Advisers 0 0 No posts
Reducing the Risk of GIPS Deficiencies in Marketing Performance 30 3 Pooled Funds
by Estherc
FINRA Hot Topics 2013 0 0 No posts
Data Protection, Information Security and Cybercrime 0 0 No posts
     Webcasts 2013
The Compliance Year in Review 0 0 No posts
Compliance Considerations in the Management of ERISA Assets 0 0 No posts
Marketing a GIPS® Compliant Firm: Databases, Consultant Demand, and Market Trends 26 3 Advertising
by Melissal
Introduction to Registered Investment Companies 0 0 No posts
SEC Initiatives for the New Fiscal Year 0 0 No posts
Best Practices in the Selection and Oversight of Counterparties 19 2 Due Diligence
by Estherc
A Closer Look at GIPS for Real Estate Managers 59 8 Definitions
by Sarahg
Books and Records 57 10 Retunrs
by Amandav
Risk Management and Portfolio Compliance 28 12 Pemanas air listrik yang akti...
by Melissal
CCO Liability 4 2 SEC Oversight
by ACA
CCO’s Survival Guide to GIPS® Compliance 13 6 selection before of elder scr...
by baizhou2324
FINRA Hot Topics for 2012 0 0 No posts
Custody Issues for Private Equity and Real Estate Advisers 38 7 Securities
by Melissal
Top Perennial Deficiencies of GIPS® Compliant Firms 26 6 Beacon's Role
by Melissal
Communication Challenges Including the Use of Social Media 3 2 struggling with fifa coins
by baizhou2324
Mid-Size Advisers - Switching to State Registration 25 2 AUM
by Melissal
Form ADV 9 5 RAUM
Significant Changes to CFTC Regulations Impacting Private Fund Managers 90 11 CPO/ CTA Registration
by Joan Murphy
Social Networking for Investment Advisors 94 28 Tempat Terbaik yang Jual Kipa...
by iis
     Webcasts 2012
Performance Advertising from a GIPS and SEC Perspective 135 21 Strategy
by Unregistered
Understanding Private Placements 6 3 Hedge Fund Relationships
by ACA
Investment Adviser Marketing Compliance Issues 30 7 Advertised Performance Record
by Frederic Rich
New Regulatory Filing Responsibilities for Investment Advisers 58 9 Newly registered Real Estate ...
by Harrys
What the AIFM Directive Means to U.S. Investment Advisers 26 6 Non-EU AIFM
by Harrys
Marketing your GIPS Claim of Compliance to Institutional Consultants & Databases 6 3 GIPS Disclosure Requirements
by ACA
Social Networking 11 6 Compliance Testing
by TJ
Gifts and Entertainment 187 25 Velcro Midget Case
by Joseph Morse
Foreign Advisers: Countdown to SEC Registration 82 8 Anti-fraud provisions
by Joan Murphy
Chief Compliance Officer and General Counsel Supervisory Responsibility and Liability 0 0 No posts
Broker-Dealer Financial Reporting and Risk Management 0 0 No posts
Code of Ethics 32 11 Access Person
by Sarahg
2011 Investment Management Compliance Benchmarking Survey Results Presentation 49 5 Alpha Capture Program
by Jdavis
Tips for Efficient Implementation of the GIPS Standards 38 6 Prospect
by Amandav
Surviving an SEC Examination 6 3 Marking or Numbering Document...
by ACA
FINRA Hot Topics for 2011 0 0 No posts
Privacy for Investment Advisers 0 0 No posts
Equity Trading Challenges 0 0 No posts
SEC Hot Topics 0 0 No posts
Everything a Private Fund Manager Needs to Know About SEC Registration 4 2 Registration Requirements for...
by ACA
New Form ADV 2 137 18 Item 2
by Donald Young
     Webcasts 2011
SEC's Pay-to-Play Rule 27 6 Contributions to Political Pa...
by Jdavis
Creating an Effective Insider Trading Program for Advisers 16 2 Rumors
by Santiago King
Marketing Guidance for Private Fund Managers 25 6 Pre-existing Relationship
by Joan Murphy
Fixed Income Trading Challenges 4 2 Markup/Markdown
by ACA
Tips for Marketing to Institutions/Consultants and Advertising from a GIPS® & SEC Perspective 18 9 “Prospective Client”
by ACA
The Survival Guide to SEC Registration for Private Fund Managers 26 8 Books and Records
by Julie Tillman
Sub-Adviser Requirements to Registered Mutual Funds 47 6 15 Day Black Out Period
by David Conley
The SEC and your GIPS® Claim of Compliance 0 0 No posts
SEC Examinations of Investment Advisers
SEC Model Books & Records Request List Types of SEC Examinations Preparation for an Examination Scope of Examinations Deficiency Letters
2 1 Risk Level of a firm
by Carol Ann Mac Lean
FINRA Hot Topics for 2010 8 4 Social Networking Sites
by ACA
The Importance of GIPS in the Hedge Fund World 7 4 Representative account
by ACA
Anti-Money Laundering
The USA Patriot Act and the Bank Secrecy Act FINRA Rule 3310 The Development of Customized Policies and Procedures Training for Employees Independent Testing Enhancing the Customer Identification Program (CIP) OFAC Compliance Requirements Interactions with FinCEN
29 5 AML Requirements
by Joan Murphy
Privacy Safeguards
Does Massachusetts Privacy Law MA 201 CMR 17 Affect You? Coming into compliance with the Massachusetts Privacy Law Regulation S-P Regulation S-AM The FTC’s Red Flags Rules on Identity Theft
22 10 Hedge Funds & Unregistered Ad...
by wtfg
Amendments to Custody Rule
This webcast will discuss: Who is Subject to "Surprise Examinations" Auditing Requirement for Pooled Investment Vehicles Affiliated Custodians Reporting Requirements for Physical Custody Delivery of Account Statement Requirement
118 26 Trustee for Account
by Frederic Rich
SEC Initiatives and Hot Topics for Investment Advisers in 2010
This webcast will discuss: Investment Adviser and Broker-Dealer Harmonization Pay-to-Play Rules Custody Insider Trading Changes in the SEC
29 5 Due Inquiry
by Unregistered
     Webcasts 2010
Insider Trading & Informational Barriers
What is Material and Non-Public Information Common Types of Informational Barriers When to Raise a Barrier Tips to Identify Insider Trading
0 0 No posts
Insider Trading & Informational Barriers
Investment Adviser Webcast Brian Rubin, Partner Sutherland Law Firm Kim Hill, Principal Consultant ACA Compliance Group This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of one (1) credit hour. This course has been accredited by the Colorado Board of Continuing Legal and Judicial Education for a maximum of one (1) unit of credit.
75 16 Monitoring Personal Trading
by Julie Tillman
Latest GIPS® Guidance and New Requirements for 2010 & 2011
This important webcast will address recent guidance and interpretations of the GIPS®. The standards and their application are constantly evolving, and compliant firms "must comply with all applicable requirements of the GIPS® standards including any updates, reports, guidance statements, interpretations, or clarifications published by CFA Institute…" Firms that only follow the written Standards will most likely fall out of compliance if they are not regularly monitoring the latest guidance. We will share the latest guidance with you as well as give you an in-depth update on the unique issues addressed at the 2009 GIPS® conference. Recent Guidance & Interpretation of the GIPS® In Depth Discussion of Items Covered at the GIPS® Conference A Look at the 2011 GIPS®
29 9 Error Correction Policy - onl...
by Estherc
Communications with the Public
Communications with the Public Advertising and Sales Literature Brochures One on one presentations Websites Speaking engagements Written Correspondence Letters Emails IMs Chatrooms Blogs FINRA Approval Securities vs. non-securities products
15 8 NOTE- Internet Usage
by ACA Speaker
Portfolio Risk Management for CCOs
Common Risk Management Tools Development of a Risk Management Program Identification of Conflicts Risk Assessment
0 0 No posts
Tips to Ensure Your Firm is GIPS® Compliant
Tips to Ensure Your Firm is GIPS® Compliant
24 4 Composite Construction
by Melissal
Mutual Fund Distributors
Proposed Rule 2341 Revenue sharing and Compensation and incentive programs arrangements Marketing materials and Correspondence between the Firm and selling group members Written supervisory procedures Anti-Money Laundering monitoring practices Personal trading and investment policy for registered representatives, and Documents presented annually to the fund board(s)
6 3 Firm-Specific Question
by ACA
Marketing by Investment Advisers
Definition of an Advertisement Key No-Action Letters Performance Advertising Disclosures Portability Books & Records Requirements
34 10 One-On-One Presentation
by Estherc
OATS & Trade Reporting for Broker-Dealers
Order Audit Trail System (OATS) Procedures What the broker-dealer is responsible for vs. what your clearing firm is doing for you How your compliance procedures relate to OATS Clock synchronization policies and procedures OATS website and internal documentation FORE files
0 0 No posts
Soft Dollars for Investment Advisers
Research and Brokerage Services Under Section 28(e) Mixed Use Items Unbundling Disclosures Conflicts of Interest
23 11 Constitutes Entertainment
by ACA
GIPS® Compliance for Hedge Funds
Although GIPS® guidance for hedge funds has only recently gained momentum, the need for more in-depth direction has been apparent for several years. We will review all past and current guidance as well as cover complex issues including incentive fees, share classes, side-pockets and other common areas of interest. Most importantly, we will share with you current practice in the industry as well as suggest and provide guidance for applying the GIPS to a hedge fund structure in a meaningful and beneficial manner. Guidance on How to Best Apply the to GIPS® Hedge Funds Share Classes/Master Feeder Structures Discussion of the Treatment of Fees Disclosure Requirements
27 4 More Info?
by Frederic Rich
SEC Examinations of Investment Advisers 55 9 Record Interviews
by Frederic Rich
FINRA Hot Topics 2009
Critical Regulatory topics and initiatives in the first half of 2009 New tone of regulatory reviews caused by the financial crisis Impact of Red Flag rules Regulation S-P Anti-Money Laundering Overlooked material issues commonly noted during regulatory exams
0 0 No posts
Tips for Marketing to Institutions/Consultants and Advertising from a GIPS® and SEC Perspective
This webcast shouldn’t be missed. We will focus on the marketing aspects of GIPS compliance and how the Standards should be applied to one-on-one presentations and advertising situations. ACA is teaming up with Vince Bakshani at eVestment Alliance, the leading web-based provider of comprehensive investment information and analytic technology, to ensure that we help you best market your firm to consultants. Because advertising is always one of the SEC’s hot issues, we will also address advertising and disclosure best practices from an SEC standpoint. Marketing From a GIPS® & SEC Perspective Best Practices for Marketing to Consultants Latest eVestment Statistics Best Practices for Data Continuity
121 12 Discussing Past Recommendatio...
by Julie Tillman
Valuation for Complex or Illiquid Securities
Advanced Valuation Concepts for Compliance and Accounting Personnel Constraints of Professional Judgment and Quantitative Analysis Ongoing impact of FAS 157 Use of Valuation Specialists Asset Manager Sound Practices in a High Risk Environment
6 3 Level 2 vs. Level 3 Swaptions
by ACA
Short Selling Rules and Related Issues
Regulation SHO Form SH Policies and Procedures to Prevent Price Manipulation Disclosures Naked Shorts
2 1 Positions and Short Sales
by ACA
Changes to GIPS® Specifically Related to Carve-outs
Effective January 1, 2010, carve-out returns are not permitted to be included in single asset class composite returns unless the carve-out is managed separately with its own cash balance. This has been on the horizon for many years, and it is finally
2 1 Sub-Portfolio Option
by ACA
Fund-of-Fund Managers & Other Advisers Investing in Private Funds: New Risks
Defining Fiduciary Duty: Lessons learned from recent events
0 0 No posts
Securities Lending
How does securities lending work
58 8 Notified of a Sale Transactio...
by Sarahg
New Form ADV Part 2
Delivery Requirements
66 10 Impersonal Investment Advice
by Melissal
Broker-Dealer Financial Reporting
Financial Statements and Net Capital Computation
36 8 Net Capital requirement 15c3...
by Julie Tillman
Introduction to GIPS Compliance and Verification
Webcast Discussion Includes:
14 7 Dates for GIPS Compliance
by ACA
     Webcasts 2009
Latest GIPS Guidance and New Requirements for 2008 and 2009
This important webcast will address recent guidance and interpretations of the GIPS. The standards and their application are constantly evolving and compliant firms “must comply with all applicable requirements of the GIPS standards including any upd
3 1 "Large"/"Significant" Cash Fl...
by honey
Best Execution
Qualitative & Quantitative analyses
12 6 Best Ex for Option Trading
by ACA
Broker Dealer Rule Updates
Is your broker-dealer aware of the new rules and regulations that have been adopted in 2008? Is your broker-dealer in compliance with the requirements of these rules? This web cast will:
0 0 No posts
Compliance Risks Associated With Fixed Income Securities
The very nature of fixed income securities seems to lend themselves to their own set of compliance risks. The conducting of fixed income research, trading, and pricing are generally different from those associated with equity securities that they oft
34 9 Net Gains
by Amandav
Providing Fund Attestations: What This Means to Advisers
Do you seem confused by the fund attestation process? This web cast will:
6 3 Certifying Compliance with Fe...
by ACA
Adherence to GIPS and SEC Rules When Marketing
Many firms claiming GIPS compliance are unclear on presentation requirements, especially if and when they conflict with local law. This webcast will focus on the marketing aspects of GIPS compliance and how the Standards should be applied to one-on-o
128 27 Composite Performance
by Sarahg
Fundamentals of Broker Dealer Compliance
Explain common findings discovered during FINRA examinations
18 2 Transfer AML Activities
by Estherc
Marketing Series #2 – Traditional Investment Advisers
Marketing violations by advisers has been on the SEC’s list of most common types of deficiencies found during examinations for a number of years now. Of course, it follows that this is highly regulated area with a vast number of marketing rules and r
75 18 RFP References
by Joan Murphy
Marketing Series #1 - Hedge Fund Managers
Hedge fund managers are severely restricted when it comes to marketing their funds to the public. In summary, their marketing efforts cannot be deemed a general solicitation for their funds. This webcast will:
96 26 Registered Investment Advisor...
by Frederic Rich
Broker Dealer Branch Office Examinations
How many branch office locations does your broker-dealer have? In order to comply with NASD Rule 3010(c) broker-dealers needs to know requirements of the rule that includes the frequency of review, books and records that must be reviewed, and he evid
37 11 non-registered branches
by Harrys
Best Practices for GIPS Policies and Procedures
A very common area of deficiencies related to GIPS compliance is the lack of a complete Policies and Procedures manual dedicated to compliance. Because the GIPS do not specifically state what policies and procedures must be documented, we will discus
33 10 Specifics for being GIPS Comp...
by Amandav
Basic 101 Investment Company Rules for Advisers to Mutual Fund Companies
Investment advisers to mutual fund companies are subject to additional rules and regulations. This webcast will:
5 5 Prospective Clients
by ACA Webcast Attendee
Compliance Risks Associated with Alternative Investments
More and more, investment advisers are turning to alternative investments as a suitable product to be held by clients. However, with these alternative investments come a host of different compliance risks that advisers must be aware of. This webcast
105 13 Reporting Alternative Investm...
by Joseph Morse
GIPS Compliance for Hedge Funds
Although GIPS guidance for hedge funds has only recently gained momentum, the need for more in-depth direction has been apparent for several years. We will review all past and current guidance as well as cover the complex issues including incentive f
240 27 Master-Feeder Structure
by Jdavis
Valuation of Securities
The SEC has already announced that valuation of securities will be a “top exam priority” in 2008 since it touches upon so many other areas of an adviser’s business such as fee calculations, performance returns, NAV calculations, etc. This webcast wil
44 13 Delisted Securities
by Julie Tillman
Broker Dealer Supervisory Controls Testing and Reporting
For most broker-dealer firms, April 1st is the deadline for the CEO Certification. Before the CEO will sign the certification he/she will need to see the results of the supervisory controls testing and gap analysis.
126 18 What happens if FINRA comes i...
by Donald Young
Inside Look at SEC Enforcement Cases Brought Against Advisers in 2007
Cases brought for failure to maintain required books/records, anti-fraud issues, conflicts of interest, improper trading, misleading advertisements,failure to report personal trading, failure to have customized complaince programs in place.
97 11 Guest at a Meeting
by Melissal
2007 Compliance Testing Survey Results
A survey focusing on compliance testing techniques in the investment management industry.
37 2 E-mail retention
by Estherc
     Webcasts 2008
Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers
Sloppy recordkeeping can lead to regulatory problems. Post your questions here.
23 4 Deleting emails
by Jdavis
Oops, A Trading Error….Now What?
How to handle trade errors. Post your questions here.
169 24 Who bears the cost of trade e...
by Joan Murphy
Most Common Pitfalls Made by Advisers
The most common deficiencies involving common areas. Post your questions here.
81 16 affiliates
by Unregistered
It’s a Disaster….How do I Recover?
Lesser-known disasters can test the limits of your disaster recovery plan. Post your questions here...
51 11 Top Tier Wirehouses
by Melissal
Variable Product Sales Practices-What to Expect in Today's Economic Climate
Don’t let your guard down! Although the economic outlook still looks bleak and financial services firms continue to operate with thin margins, reduced staff levels, and further budget cuts, regulators have ramped up efforts to protect variable product investors from unscrupulous sales practices with more regulation, continued joint examination forces and dialog, and more enforcement action. This webcast will address VIP regulatory hot button issues, key sales practice challenges that impact both distributors and insurance carriers, and FINRA Rule 2821. Participants will also hear about recent enforcement cases and trends involving variable products in addition to operational and red flag identification strategies.
10 5 Monitoring for Replacements
by ACA
Understanding Fair Valuation and When it is Necessary
With the recent boom of advisers investing in illiquid securities, the issue of fair valuation has once again become a hot topic. Post your questions here...
121 16 valuing illiquid securities
by Donald Young
The Rules of Marketing 84 11 Missed Question and Answer - ...
by Donald Young
     Webcasts 2007
Registration with the SEC - What Will It Entail For My Private Fund?
SEC Chairman Mary Schapiro has been advocating an aggressive plan for the SEC in its efforts to protect investors from unscrupulous activities in today’s economic climate. One of the items that is high on her agenda is greater oversight of private funds (e.g., hedge funds) and their managers. Over the past few months, we have witnessed the blow up of large hedge funds, often a result of failed ponzi schemes or other illegal activities. The cries by investors for protection have not gone unheard by the SEC. It is now just a matter of time before some type of regulation will be imposed on the private fund industry. More than likely, this will mean registration with the SEC. It could also mean even more oversight for certain private funds managers that are deemed systemically important to the U.S. financial system. Among other things, this webcast will address: • The current outlook on private fund manager registration in the U.S. • Overview of the SEC registration process, including information on the timing and costs associated with registration • SEC inspection basics • ACA’s compliance solutions for private fund managers This webcast will explain what it means to be registered with the SEC, what will be expected of you, and how your business may be affected. As always, our speaker will stand ready to answer your questions.
8 4 Pros vs. Cons for CCO
by ACA
An Adviser's Guide to Surviving an SEC Exam
How prepared are you for an SEC Exam? Post your questions here
12 6 NYRO Request List
by gina
How do Advisers Seek to Obtain Best Execution
What is best execution and how do I obtain it? Post you questions here.
37 13 Fund of Hedge Funds Best Ex
by Jdavis
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