Common Issues with Managed Account and Advisory Program Platforms

November 08, 2017 - 11:00 am
Investment Adviser

Please join ACA Compliance Group's Michelina Cuccia, Director and Michael Abbriano, Senior Principal Consultant, and Barry Rashkover, Partner, Sidley Austin LLP on November 8 at 11:00 a.m. ET, for a live webcast on Common Issues with Managed Account and Advisory Program Platforms.

Over the past several years, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations has shown a renewed focus on examining matters of importance to retail investors, including elderly and retiring investors. This initiative has resulted in a number of recent enforcement actions against advisers who participate in managed account and advisory program platforms. 

Our speakers will provide practical guidance for advisers in designing a compliance program to address the conflicts of interest and other issues that commonly arise in this space, including:

  • Fee billing;

  • Fee selection;

  • Mutual fund share class selection; and

  • Custody.

There will be time allotted to answer specific questions and respond to comments from webcast attendees.