ACA’s conferences provide compliance, performance, and risk professionals with with timely and in-depth knowledge on important industry topics, news, and insights to help them stay current in a rapidly changing regulatory environment.
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Tune in as we kick-off the conference with a 45-minute fireside chat with Peter Driscoll, Director, U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and Carlo di Florio, ACA Compliance Group Partner and Global Chief Services Officer. Please note: this session will be closed to the press.
The COVID-19 pandemic has changed the way that businesses function currently and will in the future. With the changing geo-political climate, market volatility, and remote environments becoming the new norm there are challenges and risks that investment advisers face. Join panelists as they discuss how the current climate will influence trends and strategies within risk and compliance.
Client and investor focus on environmental, social, and governance (ESG) issues has grown and evolved both in the U.S. and internationally. As this demand continues, investment advisers seek to apply ESG standards to the investment process. Join panelists as they discuss how compliance intersects with other business areas to create an effective ESG program.
Current market conditions have started to change the way that investors are thinking about investing. A shift in client and investor demand causes a shift in how investment advisers think about marketing their products and maintaining their current client and investor relationships. Panelists will discuss themes within marketing that should be considered including performance disclosure related to style drift, handling of client and investor complaints, effective ways to communicate with clients and investors, and more.
The effective date to claim compliance with the 2020 GIPS standards is just three short months away. This session will highlight what you need to do to be ready, including some of the common challenges of implementing the 2020 GIPS standards and practical solutions to overcome those challenges.
No firm is immune from the challenges that exist in our current environment. From the ever-changing safety guidelines to working from home to the rollercoaster market, it’s important to adapt your firm’s marketing practices to the new normal. Join panelists as they provide insight into what has changed in this new environment, including how to ensure proper oversight and best practices around presenting strategy performance, considerations around books and records, due diligence on returns achieved by a third party, and developing robust internal review processes. Please note: this session will be closed to the press.
Transparency and understanding the underlying methodologies continue to be issues for alternative investment managers as they look to market their track records. This session will help to address these issues by diving into topics such as subscription lines, track record assembly, appropriate performance methodologies, acceptable books and records, and whether claiming compliance with the 2020 GIPS standards makes sense.
The 2021 deadline for the Investment Firm Directive (IFD) and Investment Firm Regulation (IFR) under the prudential regime is fast approaching for those firms based in the EU. This sessions will provide an overview of the IFD and IFR including a summary of key impact points for investment advisers.
With LIBOR ceasing to exist in 2021, what effects will this have on the alternative manager space? Advisers may need to update contracts, adjust valuations methodologies, investor reporting, and marketing materials if LIBOR was utilized. Join panelists as they discuss the challenges associated with removing this benchmark.
Join our panelists as they discuss thematic lessons from recent SEC enforcement actions and examinations for both investment advisers and exempt reporting advisers. The discussion will also include pending initiatives and what is on the regulatory horizon. Please note: this session will be closed to the press.