ACA NEWS & EVENTS
COMPLIANCE ALERTS
ACA places a high priority on disseminating accurate, valuable information to help advisers stay up to date on compliance issues. Please email info@acacompliancegroup.com if you would like to receive future alerts free of charge.
Shortened SEC Exam Period, Ability to Search Individuals on IAPD, and Pay-to-Play Rule July 7, 2010
FTC Further Delays Red Flags Rule Enforcement Date - May 28. 2010
U.S. Sentencing Commission Amends Core Elements for an Effective Compliance Program - May 5, 2010
Compliance Deadlines Loom for Massachusetts Privacy Regulations and SEC Custody Rule - February 2010
Financial Responsibility Rule Changes - January 7, 2010
Revised Custody Rule is Out and Replacement Director of OCIE is Named- January 5, 2010
SEC Charges Billionaire Hedge Fund Manager Raj Rajaratnam with Insider Trading - November 17, 2009
SEC Continues to Revamp and Retool - November 6, 2009
SEC Sues Dual Registrant for Failure to Comply with Regulation S-P - October 7, 2009
Late Summer Regulatory Changes for Investment Advisers - September 1, 2009
SEC Proposes Investment Adviser Regulation Aimed at Pay to Play Schemes - August 18, 2009
E-COFFEEHOUSE
Pull up a chair, grab your latte, espresso, or good old cup of joe, and dive on in. ACA experts hang out in the E-Coffeehouse after the webcasts to discuss questions raised during the presentations and follow-up topics.
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RECENT SPEAKING ENGAGMENTS
Click on the month to view the speaking engagements during that period.
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- December
SEC DOCUMENT REQUEST LIST
Click here to download the SEC Document Request List in PDF format.