Track A – Introduction to Investment Adviser Compliance
Track A is designed to provide an overview of investment adviser regulation. This track is appropriate for newer compliance professionals and those wishing for a refresher on current SEC regulations.
Session 1 - Regulatory Background
- Overview of the structure and functions of the SEC
- Overview of the Investment Advisers Act and other federal securities laws applicable to investment managers
- Rule 206(4) – 7 - The Compliance Program Rule
Track B - Advanced Investment Adviser Compliance
Track B is designed to provide a survey of best practices and practical solutions in the implementation and maintenance of an established compliance program. This track is appropriate for experienced compliance professionals with a solid background in the regulatory requirements and who are looking for practical guidance and tips to improve their current program.
Session 1 – Compliance Program Infrastructure
- Organization and Documentation – Practical tips for records management
- Supervisory Structure – Managing your time and efficiency
- Technology – Leveraging technology to improve the effectiveness of your program
Track A – Introduction to Investment Adviser Compliance
Track A is designed to provide an overview of investment adviser regulation. This track is appropriate for newer compliance professionals and those wishing for a refresher on current SEC regulations.
Session 2 – The Compliance Program Rule
- Conducting a risk assessment of your advisory operations
- Designing formal compliance policies and procedures
- Conducting an annual review
Track B - Advanced Investment Adviser Compliance
Track B is designed to provide a survey of best practices and practical solutions in the implementation and maintenance of an established compliance program. This track is appropriate for experienced compliance professionals with a solid background in the regulatory requirements and who are looking for practical guidance and tips to improve their current program.
Session 2 – Human Resources Management
- Reinforcing the "culture of compliance"
- Designing effective training programs for employees
- Communications with senior management
General Session - CCO Liability
- Rule 206(4)-2 requirements for the CCO role
- A survey of recent SEC enforcement actions citing CCOs
- A discussion of insurance options
Regulatory Updates and Compliance Hot Topics
Join a panel of experts for a discussion of current regulatory issues and SEC examination focus areas.
Compliance Challenges in Managing Retirement Assets
This session will provide an overview of regulations applicable to the management of retirement plan assets including individual retirement accounts, plan asset accounts, and pooled vehicles, including:
- Gifts and Entertainment, Pay to Play rules
- IRS requirements
- Private Funds and Plan Assets
Anti-Money Laundering and Corrupt Practices Regulations for Advisers
This session will provide an overview of proposed and final anti-money laundering and corruption regulations applicable to investment advisers, including:
- Proposed AML Regulations for Advisers
- Foreign Corrupt Practices Act
- UK Bribery Act
Peer Groups
What compliance problems are keeping you up at night? Meet with your peers in an informal and intimate format. Participate in free-flow discussions where you set the agenda. Hear how other advisers and managers are handling compliance issues that you currently face. Each peer group will be moderated by an expert leader in the industry.
- Publicly Traded Equity Managers
- Publicly Traded Debt Managers
- Privately Traded Securities Managers
Best Execution in Non-Traditional Markets
- Derivatives
- OTC
- Forex
- Private transactions
Oversight of Third Party Service Providers
- Due diligence visits
- Contracts
- Reporting
- Privacy/Disaster Recovery
Regulatory Filings for Advisers
- Form ADV
- Section 13 Filings
- Section 16 Filings
- Form PF
- Treasury Filings
Marketing Considerations for Separate Account Managers
- GIPS
- Performance advertising
- Use of social networks
Marketing Considerations for Private Fund Managers
- Avoiding a general solicitation or public offering
- When advisory activities may require a broker dealer registration
Managing a Successful SEC Examination
This session is designed to provide all levels of compliance professionals with practical tips for managing a successful SEC examination from a panel of experts in regulatory examinations, both conducting and receiving. The topics will include:
- Document Request Management
- Interview Preparation
- Interactions with Examiners
- New Audit Program
Peer Groups
What compliance problems are keeping you up at night? Meet with your peers in an informal and intimate format. Participate in free-flow discussions where you set the agenda. Hear how other advisers and managers are handling compliance issues that you currently face. Each peer group will be moderated by an expert leader in the industry.
- Traditional/SMA Advisers
- Private Equity/Debt and Real Estate Managers
CFTC/NFA Regulation for SEC Registered Advisers
- Impact of the rescission of the Rule 4.13(a)(4) exemption
- Calculation of the five percent "de minimis exemption" and the alternative net notional test for purposes of Rule
4.13(a)(3)
- Registration exemptions available to CTAs in light of the amendments to Rule 4.14(a)(8)(iii)(D)
- Registration of non-U.S. based CPOs and possible future exemptive relief
- Filing of Forms CPO-PQR and CTA-PR
- Filing annual notices of exemption for exempt CPOs and CTAs
- Planning for CFTC registration and NFA membership
- Compliance obligations of CFTC Registrants and NFA Members
Spring 2012 Compliance Conference
Agenda at a Glance
Wednesday, April 25 – Compliance Program Management
Click on the session name in order to see panel’s description
12:00pm - 1:00pm |
Pre-Registration |
1:00pm - 2:15pm |
|
2:15pm - 2:30pm |
Networking Break |
2:30pm - 3:45pm |
|
3:45pm - 4:00pm |
Networking Break |
4:00pm - 5:00pm |
CCO Liability
|
5:00pm - 6:00pm |
Networking Reception |
Thursday, April 26
7:00am - 8:00am |
Continental Breakfast/Registration |
8:00am - 8:15am |
Welcoming Remarks |
8:15am - 9:00am |
Keynote Speaker |
9:10am - 10:45am |
Regulatory Updates and Compliance Hot Topics
|
10:45am - 11:00am |
Networking Break |
11:00am - 12:00pm |
|
12:00pm - 1:00pm |
Lunch |
1:00pm - 2:15pm |
|
2:15pm - 2:25pm |
Break |
2:25pm - 3:40pm |
|
3:40pm - 4:00pm |
Break |
4:00pm - 5:00pm |
Regulatory Filings for Advisers |
5:00pm - 7:00pm |
Networking Reception |
Friday, April 27 – Beyond the Adviser’s Act
7:00am - 8:00am |
Breakfast with the Editor - ACA Insight |
8:00am - 9:15am |
|
9:15am - 10:30am |
|
10:30pm - 10:50pm |
Networking Break |
10:50am - 12:20pm |
Managing a Successful SEC Examination
|
12:20pm - 12:30pm |
Concluding Remarks – End of Conference |
*Agenda subject to change.
** Workshop and Peer Groups are closed to the media and exhibitors
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CPE & CLE Credits
ACA will be applying for CLE Credits in certain states. For full details, click the link below.
CPE & CLE Credit Information
