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Oct 30, 2018
Webcast
Section 18 (Senior Securities and Asset Segregation)
Section 18 of the 1940 Act prohibits registered funds from issuing any “senior security”. This prohibition has been extended to...
Oct 25, 2018
Webcast
SFC’s Fund Manager Code of Conduct: Navigating the Challenges
Changes to the Securities and Futures Commission (SFC) Fund Manager Code of Conduct will be implemented on 18 November, 2018,...
Oct 25, 2018
Webcast
SFC’s Fund Manager Code of Conduct: Navigating the Challenges
Changes to the Securities and Futures Commission (SFC) Fund Manager Code of Conduct will be implemented on 18 November, 2018,...
Oct 25, 2018
Webcast
Vendor Risk: Due Diligence, Scaling, Analysis, and Ongoing Oversight
In recent years, regulators have increasingly focused on vendor due diligence. Join ACA, alongside the compliance manager of a leading private...
Oct 23, 2018
Webcast
Common Practices of GIPS-Compliant Firms
ACA will discuss the most common question we receive from clients, “What do other firms do?” During this presentation we will...
Oct 16, 2018
Webcast
Due Diligence and Oversight of Sub-Advisers
We invite you to join ACA as we discuss the makeup of an investment adviser's due diligence program and compliance oversight of...
Sep 21, 2018
Webcast
Hedge Fund Strategy Series: Part 1 – Novel Compliance Issues Faced by Credit Managers
Join us for our webcast, Novel Compliance Issues Faced by Credit Managers. Oak Hill Advisors' Kai Lee, and ACA discuss compliance issues unique to credit...
Aug 14, 2018
Webcast
Implementing Controls Around Insider Trading
Tune in for our webcast Implementing Controls around Insider Trading Webcast. ACA will discuss various controls investment advisers can implement to address the...
Jul 31, 2018
Webcast
Closed-End Funds 101
Closed-end funds may look similar to open-end funds but they're actually very different. We invite you to join ACA as...
Jul 27, 2018
Webcast
Cybersecurity Considerations for Investment Companies
We invite you to join us for a live complimentary webcast. Tune in to hear ACA discuss cybersecurity best practices and...
Jul 19, 2018
Webcast
Trading Matters for Investment Companies
The idea of trading for registered investment company (fund) clients can seem daunting given the wealth of regulations underpinning this...
Jul 12, 2018
Conference
Real Estate Update
Tune in for our Real Estate Update. You'll hear from ACA as consultants share insights into recent examination trends and novel issues...
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