Expert Network Best Practices and the ARC’s Expert Network Chaperoning Services

November 02, 2017 - 11:00 am to 12:00 pm
Investment Adviser

How much of a risk are primary research consultations? What are these risks and how can we mitigate them? What guidance has the SEC given with respect to expert network consultations?

Please join ACA Compliance Group's Erin Elliott and GLG's Laurence Herman on Thursday, November 2 at 11am EST for a webcast that will take a closer look at all of these questions, industry best practices, and front and back end compliance controls.

Discussion topics will include:

  • Primary Research in the Investment Process
  • Risks
  • SEC Guidance
  • Case Studies
  • Controls and Risk Mitigation

Throughout the webcast, the panelists will answer questions and respond to comments from attendees.