ACA 2019 Compliance Survey Covers Annual Meetings, Insider Trading Controls and Common Compliance Program Issues (Part Two of Two)

ACA Compliance Group (ACA) recently released the results of its 2019 Alternative Fund Manager Compliance Survey. Colleen Marencik and Ken Harman, ACA director and principal consultant, respectively, conveyed the survey’s findings in a webinar that was limited to the results from PE, real estate and other illiquid fund managers. This article, the second in a two-part series, explores the portions of the presentation detailing annual investor meetings, insider trading controls and common compliance program issues. The first article addressed recent SEC examination experience; common code of ethics issues; the use of senior advisers; and fee and expense allocations. For more from ACA, see our two-part series on its 2018 investment management compliance testing survey: “Fees and Expenses, Investment Mandates, Big Data and Custody” (Aug. 2, 2018); and “Best Execution, Soft Dollars, Advertising, Individual Clients and Cryptocurrency Trading” (Aug. 9, 2018).

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