|5451||Love Your CCO||30||Apr||2:00PM||3:00PM||April||Thursday||19||2018||
During this webinar, experts from ACA Compliance Group will discuss all things related to fund CCOs. Topics will include:
To receive member pricing, login to the site before clicking register. If you need assistance, call the Forum at (202) 507-4488.
|Forum Webinar Series||
This event is closed to the media.
Senior Principal Consultant
ACA Compliance Group
Donald Delano joined ACA Compliance Group as a Senior Principal Consultant in February 2014. Don has over 20 years of investment and compliance experience with the U.S. Securities and Exchange Commission (“SEC”) and major financial institutions. His consulting work focuses primarily on asset management regulatory services.
Prior to ACA, Don served for nine years as chief compliance officer at Artio Global Management LLC (formerly Julius Baer). While there, he developed a comprehensive compliance program suitable for the firm’s business activities. The program covered portfolio management, trading, side-by-side management, the code of ethics, gifts and entertainment, insider trading and information barriers, use of expert networks, proxy voting, and marketing. Artio’s business areas included providing international and U.S. equity, high-yield, global fixed-income, and alternative investment strategies.
Before Artio, Don was chief compliance officer for E*Trade Asset Management and the E*Trade Funds. While with E*Trade, he developed the compliance program for the company’s proprietary mutual funds and other affiliated investment management businesses, including the mutual fund platform.
Don has also served an associate director in Bear Stearns’ Private Wealth Management Division. In that position, he oversaw the compliance program for private clients and other fee-based managed accounts in New York, San Francisco, Los Angeles, Chicago, Atlanta, and Boston. In addition, he has worked as a principal consultant and team leader with the Regulatory Compliance Consulting Group of PwC, where he led mock regulatory reviews of investment management firms’ portfolio management and trading, operations, marketing and sales, and accounting functions.
Prior to PwC, Don served as compliance manager with Prudential Insurance Company of America’s Asset Management Division. At Prudential, he oversaw compliance issues related to the Investment Advisers Act, the Investment Company Act, and other applicable securities regulations for the firm’s affiliated investment advisers. Before that, he was a senior compliance examiner with the SEC’s Division of Investment Management, where he supervised and conducted numerous compliance inspections of registered investment advisers and mutual funds. Some of these were referred to enforcement.
Don graduated from Baruch College with a Bachelor of Business Administration in Finance. He also holds the Series 7, 24, and 63 security licenses.
ACA Compliance Group
Erik is a Director at ACA Compliance Group. Erik focuses on the mutual fund industry, providing ongoing and customized regulatory compliance consulting and compliance program review services to registered investment companies, their investment advisers and sub-advisers, and other service providers. Erik joined ACA in 2012 as a Senior Principal Consultant.
Prior to joining ACA, Erik was a Compliance Director at Legg Mason. In that role, he headed the firm’s Global Compliance Examinations team, overseeing compliance program and risk control reviews of Legg Mason’s worldwide investment advisory affiliates and distribution units.
Before Legg Mason, Erik served as a Securities Compliance Examiner in the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company) where he conducted regulatory examinations of registered investment advisers and registered investment companies. At the SEC, Erik helped launch the CCO Outreach Program. In 2005, he received the Chairman’s Award of Excellence.
Prior to the SEC, Erik worked in the Mutual Funds Legal and Accounting Departments of Deutsche Asset Management. Erik led the Domestic Equities fund accounting team, responsible for the daily accounting and processing of mutual fund net asset values, and the semi-annual creation of fund financial statements. Erik also served in the Legal Department where he reviewed and drafted registration documents and participated in boards of directors meetings.
Erik is a Certified Fraud Examiner. He earned his Bachelor of Business Administration degree in Finance from Loyola College (now Loyola University Maryland).
ACA Compliance Group
Thomas Riley joined ACA in 2016 as a Principal Consultant in ACA’s Investment Company Compliance division. As a Principal Consultant, Tom leads or participates in SEC inspections, 206(4)-7 and 38a-1 annual compliance reviews, and more-focused compliance reviews for investment advisers to business development companies and registered investment companies. He also helps clients develop and maintain customized policies, procedures, and forensic testing programs.
Prior to ACA, Tom served as Chief Compliance Officer for the Business Development Corporation of America , a business development company, and its related adviser, BDCA Advisor, LLC, one of RCS Capital Corporation’s affiliated funds and advisers. Tom was also a Compliance Officer of RCS Advisory Services that provides certain administrative and compliance services to BDCs and investment companies sponsored or advised by RCS or its affiliates. His responsibilities there included establishing, maintaining, and reviewing a comprehensive compliance program designed to address the fund complex and the adviser’s regulatory requirements, reporting to the fund’s board and RCS Capital’s Chief Risk Officer.
Prior to joining RCS Advisory Services, Mr. Riley was senior risk manager for RCS Capital from June 2014 to March 2015, where he worked on compliance matters for the firm’s retail broker-dealer subsidiaries. Prior to, Tom was with The Guardian Life Insurance Company of America from April 2004 to June 2014 where he served as Assistant Vice President, Head of Sales Supervision for their wealth management advisory platform. In that role, he supervised all sales at Park Avenue Securities, Guardian’s dual-registered broker-dealer and investment adviser.
Tom earned his Bachelor of Science degree in Finance and Economics from Siena College.
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PRESS / MEDIA