Navigating the SEC’s Interpretation Regarding an Investment Adviser’s Standard of Conduct

ACA Compliance Group's Greg Mekanik recently shared his insights with the Hedge Fund Law Report in a three-part series on the practical implications of the SEC’s interpretation regarding standard of conduct for investment advisers. 

Download Part Three: Three Tools to Systematically Monitor Conflicts of Interest 

Use the links below to access the entire series (Hedge Fund Law Report membership required):

• Navigating the SEC’s Interpretation Regarding an Investment Adviser’s Standard of Conduct: What It Means to Be a Fiduciary (Part One of Three)
• Navigating the SEC’s Interpretation Regarding an Investment Adviser’s Standard of Conduct: Six Tools to Systematically Identify Conflicts of Interest (Part Two of Three)
• Navigating the SEC’s Interpretation Regarding an Investment Adviser’s Standard of Conduct: Three Tools to Systematically Monitor Conflicts of Interest (Part Three of Three)

Additional Resources from the ACA Blog

• Investment Adviser Standard of Conduct and Form CRS - What You Need to Know (Part 1 of 2)
• Investment Adviser Standard of Conduct and Form CRS – What You Need Know (Part 2 of 2)
• Standards of Conduct for Investment Professionals 

About Greg Mekanik

Greg Mekanik joined ACA in June 2007. He currently serves as a Managing Director and as co-leader of ACA’s Hedge Fund Practice. As a practice leader, Greg coordinates and participates on many complex hedge-fund-related engagements, including forensic testing projects, compliance program reviews, mock SEC inspections, focused reviews, and gap analyses. He also develops customized policies and procedures for and manages and maintains relationships with ACA’s investment adviser and private fund manager clients. Since joining the firm, he has led or participated in over 200 projects, including mock SEC examinations, compliance program reviews, gap analyses, SEC inspection responses, and policy-and-procedure development and review efforts. In addition, Greg manages a significant portion of ACA’s business development efforts related to the Hedge Fund Practice. Greg earned his Bachelor of Science degree in Finance with a concentration in Investment Management from Virginia Polytechnic Institute and State University (Virginia Tech).