ACA Compliance Group Fall 2008 Compliance Conference

CONFERENCE AGENDA

Session Times Monday September 8, 2008
12:00pm - 1:00pm Pre-Registration
1:00pm - 2:15pm Workshop Session (Closed Session) - Understanding CCO and other Supervisory Responsibilities
2:15pm - 2:30pm Break
2:30pm - 3:45pm Workshop Session (Closed Session) - Understanding CCO and Supervisory Responsibilities
3:45pm - 4:00pm Break
4:00pm- 5:00pm Peer Group Roundtables (Closed Session)
5:00pm-6:00pm Meet & Greet Reception

 

Session Times Tuesday September 9, 2008
  Track 1 Track 2
7:00am - 8:00am Breakfast/Registration
8:00am - 8:15am Welcoming Remarks
8:15am - 9:00am Keynote Speaker
9:00am - 9:15am Break
9:15am - 10:30am Marketing by Advisers Valuation
10:30am - 10:45am Break
10:45am - 12:00pm Anti-Money Laundering Best Practices New Form ADV Part 2
12:00pm - 1:00pm Lunch
1:00pm - 2:15pm Compliance Benchmarking: Results of the 2008 Investment Management Compliance Testing Survey CCO's Guide to GIPS Compliance
2:15pm - 2:30pm Break
2:30pm - 3:45pm Trading & Trade Errors Identifying Prohibited Securities Transactions for Mutual Funds
3:45pm - 4:00pm Break
4:00pm - 5:00pm Peer Group Roundtables (Closed Session)
5:00pm - 7:00pm Cocktail Reception

 

Session Times Wednesday September 10, 2008
  Track 1 Track 2
7:00am - 8:00am Breakfast/Registration
8:00am - 9:15am State Issues for SEC Registered Investment Advisers Code of Ethics & Insider Trading
9:15am - 9:30am Break
9:30am - 10:45am Best Execution Regulation S-P
10:45am - 11:00am Break
11:00am - 12:30pm How to Manage an SEC Inspection
12:30pm End of Conference