You are invited to attend the latest in a series of interactive investment adviser compliance roundtables. This series is designed to bring compliance officers and others interested in adviser compliance issues in the Chicago metropolitan area together periodically to share information and discuss hot topics.
At the Spring 2017 Roundtable, our panelists will discuss the latest regulatory developments affecting investment advisers, including hedge fund and private equity managers and family offices.
Are you interested in how other firms make expense allocation decisions? Ever wonder what controls other private fund managers have implemented relating to the receipt of material non-public information? Are your business continuity and transition planning practices in line with other alternative fund managers?
Please join ACA’s Jessica Huelbig and Sidley Austin's Jonathan Miller on March 8 for an overview of Form PF for annual filers. During the webcast, our speakers will provide practical guidance on accurately completing the form. Topics will include:
ACA’s marketing and advertising review assistance allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process. ACA’s skilled compliance professionals can step in during periods of high volume or assist your firm with enhancing collateral review workflows and protocols. Our marketing and advertising reviews are designed to help your firm identify potential business and compliance risks that could lead to problems with your key stakeholders: regulators, clients, and prospective clients.
The Securities and Exchange Commission (“SEC”) has noted that it will focus its attention on wrap fee programs as stated in the recently released 2017 examination priorities list. Additionally, the SEC has noted that any time an adviser relies on the performance of a subadviser or third party, appropriate due diligence should be conducted on the third party’s performance to substantiate the accuracy of the information.
ACA can assist compliance and legal teams by chaperoning expert network consultations. ACA’s team is available to listen to consultations, document observed inconsistencies with policies and procedures, and provide a report of any findings after the meeting. Our expert network chaperoning service is part of ACA’s off-site compliance solutions and is provided by ACA’s Analysis and Review Center, our dedicated knowledge center of regulatory compliance professionals.
New York, NY; February 7, 2017– ACA Compliance Group and GLG (Gerson Lehrman Group, Inc.) announced today that they have entered into an exclusive partnership to provide mutual clients with the option to retain ACA’s third-party monitoring service for expert consultations arranged by GLG.