Investment Management

2012 Webinar - Investment Management Compliance Testing Survey Results Presentation

Investment Management Compliance Testing Survey Results Presentation
Thursday, June 14, 2012, 1:00 pm - 2:30 pm ET

Speakers from the Investment Adviser Association and ACA Compliance Group present the results of this year’s Investment Management Compliance Testing Survey and provide industry insight regarding best practices, emerging trends, and hot issues in Investment Adviser compliance.

Presenters:

Lynne M. Carreiro joined ACA in 2005 and currently serves as a Senior Principal Consultant in the Boston office. Lynne provides a wide variety of regulatory and compliance consulting services to both registered and unregistered clients, with a focus on private funds and investment advisers. Lynne also specializes in assisting advisers with international regulatory issues, and in 2012, Lynne began directing the educational efforts of ACA including the organization of ACA’s conferences, webcasts, and other training opportunities. Lynne began her regulatory career in 2000 as a Securities Compliance Examiner with the Boston District Office of the Securities and Exchange Commission. Lynne received her undergraduate degrees from Trinity College in Washington DC and her J.D. from Vermont Law School.

Kathy D. Ireland is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Kathy acted as an independent consultant focusing on pension and securities issues. In addition, she served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. Kathy also worked as an attorney in the Division of Investment Management at the SEC, and as an Associate and Counsel at Gibson, Dunn & Crutcher. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an L.L.M. in Labor Law from the George Washington University National Law Center.

Registration:

Registration for this event closed. To purchase a recording of this webinar, please complete and return a webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.