Join ACA for a discussion about the Senior Managers & Certification Regime (SM&CR) and why making senior management and staff aware of the implications, allocating prescribed responsibilities and getting the certification regime figured out is proving a big challenge.
Join ACA for an introduction to the world of registered funds and the complexities that a new sub-adviser will need to be aware of when managing a fund.
Join ACA as we discuss the differences between the structure and philosophy of the SEC and FCA, key compliance areas of divergence and how to best implement and manage a dual regulatory compliance program.
Join ACA for a discussion regarding Qualified Opportunity Zone Funds to understand their benefits, how they differ from traditional real estate funds, and any relevant compliance issues involved with managing these vehicles.
Join ACA for a discussion on the expectations and reality of transaction reporting under the MiFID I regime.
Join ACA for a discussion on best practices for private equity firms to determine regulatory cyber and privacy risks for prospective portfolio companies during pre-deal diligence exercises.
Join ACA as we discuss highlights from the performance-focused track of ACA's Spring 2019 conference including various topics on the GIPS standards, key risk factors in marketing performance, emerging performance trends, and other performance topics.
Join ACA for a discussion about FCA operational objectives.
Join ACA for a discussion on current regulatory challenges pertaining to broker-dealers.
Join ACA for a discussion about important areas that credit asset managers should understand as they consider GIPS compliance.