ACA 2018 Compliance Survey Examines Electronic Communications, Personal Trading and Corruption Risk (Part Two of Two)

ACA Compliance Group (ACA) director Danielle Joseph and principal consultant Ken Harman discussed the results of ACA’s 2018 Alternative Fund Manager Compliance Survey in a recent presentation. This article, the second in a two-part series, details the portions of the survey that covered electronic communications, personal trading and corruption risk, and offers insights from the speakers. The first article examined compliance programs and SEC examination priorities. For coverage of ACA’s 2016 compliance survey, see “SEC Exams; Compliance Staffing and Budgeting; Annual and Ongoing Compliance Reviews; and AML/Sanctions Compliance” (Jan. 19, 2017); and “Custody; Fee Policies and Arrangements; Safeguarding of Assets; and Personal Trading” (Feb. 2, 2017).

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