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News January 11, 2010 Issue

Advertisement - Investment Adviser Compliance Forum 2010

New Strategies for Addressing Today's Risks

February 25-26     Crystal Gateway Marriott    Arlington, VA

The Investment Adviser Association and ACA Insight are pleased to announce their first annual Investment Adviser Compliance Forum. Our comprehensive two-day program is designed to provide the most current informaion available on the ever-changing regulatory landscape and to assist in helping you to gain a clear understanding of what is necessary to maintain a successful compliance program. Our distinguished roster of speakers will include SEC staff, investment adviser industry professionals, and legal experts.

Topics will include:

  • Compliance After a Market Crisis
  • Regulatory Update: What's Next from the SEC?
  • Washington Update: How Will Advisers be Affected by Regulatory Reform?
  • Custody and Fraud Detection
  • Current Trading Issues
  • Code of Ethics Issues and Proprietary Trading
  • Hot Topic Breakout Sessions
  • "Pay to Play" Anti-Fraud Rule
  • Portfolio Management and Client Guidelines
  • Data Security and Privacy Issues
  • Disclosures: Keeping them Current
  • Risk Management
  • SEC Examinations

For more information, visit www. acacompliancegroup.com