| Introduction to GIPS Compliance and Verification
Webcast Discussion Includes: |
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Dates for GIPS Compliance
01/27/09 at 05:58 PM by ACA |
| Securities Lending
How does securities lending work |
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Notified of a Sale Transactio...
03/05/09 at 06:31 PM by ACA |
| Fund-of-Fund Managers & Other Advisers Investing in Private Funds: New Risks
Defining Fiduciary Duty: Lessons learned from recent events |
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| Short Selling Rules and Related Issues
Regulation SHO
Form SH
Policies and Procedures to Prevent Price Manipulation
Disclosures
Naked Shorts
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Positions and Short Sales
04/08/09 at 06:01 PM by ACA |
| 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 |
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Level 2 vs. Level 3 Swaptions
04/29/09 at 11:36 AM by ACA |
| 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
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Due Inquiry
01/28/10 at 05:53 PM 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 |
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Sub-Portfolio Option
03/25/09 at 05:46 PM by ACA |
| 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
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| 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 |
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| Soft Dollars for Investment Advisers
Research and Brokerage Services Under Section 28(e)
Mixed Use Items
Unbundling
Disclosures
Conflicts of Interest |
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Constitutes Entertainment
07/27/09 at 01:32 PM 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
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More Info?
07/17/09 at 05:21 PM by ACA |
| Marketing by Investment Advisers
Definition of an Advertisement
Key No-Action Letters
Performance Advertising
Disclosures
Portability
Books & Records Requirements |
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Elements of the TCW no-action...
08/14/09 at 11:43 AM by ACA |
| New Form ADV Part 2
Delivery Requirements |
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Brochure Supplements
02/24/09 at 04:56 PM by ACA |
| Tips to Ensure Your Firm is GIPS® Compliant
Tips to Ensure Your Firm is GIPS® Compliant
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Minimums
09/16/09 at 10:39 AM by ACA |
| SEC Examinations of Investment Advisers
SEC Model Books & Records Request List
Types of SEC Examinations
Preparation for an Examination
Scope of Examinations
Deficiency Letters
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Risk Level of a firm
06/23/09 at 03:33 PM by Carol Ann Mac Lean |
| 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®
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Error Correction Policy - onl...
01/04/10 at 10:43 AM by ACA |
| 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. |
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144A Securities
11/19/09 at 05:22 PM by ACA |
| 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 |
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Sending prospect compliant-pr...
05/05/09 at 06:07 PM by ACA |
| 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. |
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Documentation mentioned in th...
08/24/09 at 01:26 PM by ACA |
| 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
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NOTE- Internet Usage
10/30/09 at 02:36 PM by ACA Speaker |
| 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 |
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Timing of Redemptions
05/27/08 at 03:40 PM by JJ Jackson |
| Portfolio Risk Management for CCOs
Common Risk Management Tools
Development of a Risk Management Program
Identification of Conflicts
Risk Assessment |
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| 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 |
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Pricing Vendors
08/28/09 at 05:26 PM by ACA |
| 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 |
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non-registered branches
06/23/08 at 10:11 AM by ACA |
| 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. |
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What happens if my CEO signs ...
08/21/09 at 05:57 PM by ACA |
| 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 |
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Specifics for being GIPS Comp...
06/04/08 at 11:51 AM by Jeff Tarumianz |
| 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 |
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GIPS Compliance Investment Ad...
04/23/08 at 11:18 AM by ACA |
| 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 |
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Privacy - Regulation S-P
08/28/09 at 05:22 PM 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 |
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Policy and Procedures
09/24/08 at 02:18 PM by ACA |
| Fundamentals of Broker Dealer Compliance
Explain common findings discovered during FINRA examinations |
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'Insurance' Broker Dealers
09/23/08 at 10:04 AM by ACA |
| 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: |
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Prospective Clients
05/06/08 at 03:46 PM by ACA Webcast Attendee |
| 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 |
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Net Gains
11/13/08 at 10:55 AM 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: |
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| Best Execution
Qualitative & Quantitative analyses |
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Best Ex for Option Trading
12/12/08 at 10:45 AM by ACA |
| 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)
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Firm-Specific Question
09/01/09 at 04:04 PM by ACA |
| 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:
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The current outlook on private fund manager registration in the U.S.
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Overview of the SEC registration process, including information on the timing and costs associated with registration
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SEC inspection basics
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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.
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Pros vs. Cons for CCO
06/16/09 at 03:45 PM by ACA |
| 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: |
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HNW
07/16/08 at 03:40 PM by ACA |
| An Adviser's Guide to Surviving an SEC Exam
How prepared are you for an SEC Exam? Post your questions here |
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NYRO Request List
01/02/08 at 10:32 PM by gina |
| How do Advisers Seek to Obtain Best Execution
What is best execution and how do I obtain it? Post you questions here. |
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Best Ex for SMA Accounts
07/12/07 at 11:21 PM by Rob Stype - ACA |
| 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. |
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Monitoring for Replacements
06/17/09 at 05:20 PM by ACA |
| 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 |
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"Large"/"Significant" Cash Fl...
12/16/08 at 04:14 PM by ACA |
| The Rules of Marketing |
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Missed Question and Answer - ...
07/10/07 at 11:26 PM by ReG=ACALLC |
| 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... |
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Reconciling SEC to GAAP Repor...
07/10/07 at 11:03 PM by ReG=ACALLC |
| Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers
Sloppy recordkeeping can lead to regulatory problems. Post your questions here. |
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Keeping all emails
11/13/07 at 04:33 PM by ACA |
| Most Common Pitfalls Made by Advisers
The most common deficiencies involving common areas. Post your questions here. |
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Different Fee Schedules
09/12/07 at 05:51 PM by ACA |
| Providing Fund Attestations: What This Means to Advisers
Do you seem confused by the fund attestation process? This web cast will: |
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Certifying Compliance with Fe...
10/21/08 at 03:49 PM by ACA |
| 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
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