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Webcasts 2008
	Broker Dealer Rule Updates Is your broker-dealer aware of the new rules and regulations that have been adopted in 2008? Is your broker-dealer in compliance with the requirements of these rules? This web cast will:	0	0	No posts
	Compliance Risks Associated With Fixed Income Securities The very nature of fixed income securities seems to lend themselves to their own set of compliance risks. The conducting of fixed income research, trading, and pricing are generally different from those associated with equity securities that they oft	18	9	Net Gains 11/13/08 by ACA
	Providing Fund Attestations: What This Means to Advisers Do you seem confused by the fund attestation process? This web cast will:	6	3	Certifying Compliance with Fe... 10/21/08 by ACA
	Adherence to GIPS and SEC Rules When Marketing Many firms claiming GIPS compliance are unclear on presentation requirements, especially if and when they conflict with local law. This webcast will focus on the marketing aspects of GIPS compliance and how the Standards should be applied to one-on-o	54	27	Policy and Procedures 09/24/08 by ACA
	Fundamentals of Broker Dealer Compliance Explain common findings discovered during FINRA examinations	4	2	'Insurance' Broker Dealers 09/23/08 by ACA
	Marketing Series #2 – Traditional Investment Advisers Marketing violations by advisers has been on the SEC’s list of most common types of deficiencies found during examinations for a number of years now. Of course, it follows that this is highly regulated area with a vast number of marketing rules and r	37	18	Privacy - Regulation S-P 10/09/08 by C. Church
	Marketing Series #1 - Hedge Fund Managers Hedge fund managers are severely restricted when it comes to marketing their funds to the public. In summary, their marketing efforts cannot be deemed a general solicitation for their funds. This webcast will:	52	26	HNW 07/16/08 by ACA
	Broker Dealer Branch Office Examinations How many branch office locations does your broker-dealer have? In order to comply with NASD Rule 3010(c) broker-dealers needs to know requirements of the rule that includes the frequency of review, books and records that must be reviewed, and he evid	22	11	non-registered branches 06/23/08 by ACA
	Best Practices for GIPS Policies and Procedures A very common area of deficiencies related to GIPS compliance is the lack of a complete Policies and Procedures manual dedicated to compliance. Because the GIPS do not specifically state what policies and procedures must be documented, we will discus	20	10	Specifics for being GIPS Comp... 06/04/08 by Jeff Tarumianz
	Basic 101 Investment Company Rules for Advisers to Mutual Fund Companies Investment advisers to mutual fund companies are subject to additional rules and regulations. This webcast will:	5	5	Prospective Clients 05/06/08 by ACA Webcast Attendee
	Compliance Risks Associated with Alternative Investments More and more, investment advisers are turning to alternative investments as a suitable product to be held by clients. However, with these alternative investments come a host of different compliance risks that advisers must be aware of. This webcast	27	13	GIPS Compliance Investment Ad... 04/23/08 by ACA
	GIPS Compliance for Hedge Funds Although GIPS guidance for hedge funds has only recently gained momentum, the need for more in-depth direction has been apparent for several years. We will review all past and current guidance as well as cover the complex issues including incentive f	56	27	Timing of Redemptions 05/27/08 by JJ Jackson
	Valuation of Securities The SEC has already announced that valuation of securities will be a “top exam priority” in 2008 since it touches upon so many other areas of an adviser’s business such as fee calculations, performance returns, NAV calculations, etc. This webcast wil	22	13	Pricing Vendors 03/04/08 by Rick Gorve
	Broker Dealer Supervisory Controls Testing and Reporting For most broker-dealer firms, April 1st is the deadline for the CEO Certification. Before the CEO will sign the certification he/she will need to see the results of the supervisory controls testing and gap analysis.	37	18	What happens if my CEO signs ... 06/27/08 by s n
	Inside Look at SEC Enforcement Cases Brought Against Advisers in 2007 Cases brought for failure to maintain required books/records, anti-fraud issues, conflicts of interest, improper trading, misleading advertisements,failure to report personal trading, failure to have customized complaince programs in place.	20	11	Documentation mentioned in th... 02/15/08 by Martha Robbins
Webcasts 2007
	An Adviser's Guide to Surviving an SEC Exam How prepared are you for an SEC Exam? Post your questions here	12	6	NYRO Request List 01/02/08 by gina
	Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers Sloppy recordkeeping can lead to regulatory problems. Post your questions here.	8	4	Keeping all emails 11/13/07 by ACA
	Oops, A Trading Error….Now What? How to handle trade errors. Post your questions here.	39	17	Error Account at Fund Level 08/12/08 by claire brown
	Most Common Pitfalls Made by Advisers The most common deficiencies involving common areas. Post your questions here.	33	16	Different Fee Schedules 09/12/07 by ACA
	It’s a Disaster….How do I Recover? Lesser-known disasters can test the limits of your disaster recovery plan. Post your questions here...	20	11	Original Signatures 11/05/07 by lisa
	How do Advisers Seek to Obtain Best Execution What is best execution and how do I obtain it? Post you questions here.	27	14	Best Ex for SMA Accounts 07/12/07 by Rob Stype - ACA
	2007 Compliance Testing Survey Results A survey focusing on compliance testing techniques in the investment management industry.	4	2	E-mail retention 07/10/07 by ACALLC
	Understanding Fair Valuation and When it is Necessary With the recent boom of advisers investing in illiquid securities, the issue of fair valuation has once again become a hot topic. Post your questions here...	40	16	Reconciling SEC to GAAP Repor... 07/10/07 by ACALLC
	The Rules of Marketing	22	11	Missed Question and Answer - ... 07/10/07 by ACALLC
Job Postings
	Job Openings Looking for a job? Check here for job openings.	1	1	Compliance Officer Opening 07/10/07 by ACALLC

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