ACA Panel Examines Compliance Issues Faced by Credit Managers

A recent ACA Compliance Group (ACA) webinar examined compliance issues faced by credit managers, including valuation, access to material nonpublic information, trade allocation, best execution and custody. The program featured Joel Stocksdale and Lisa Ollar, senior principal consultants at ACA, along with Kai Lee, managing director, chief compliance officer and associate general counsel of Oak Hill Advisors, L.P. This article summarizes the key takeaways from the program. For coverage of another ACA program featuring Stocksdale, see our two‑part series on mitigating insider trading risk: “Relevant Laws and Regulations; Internal Controls; Restricted Lists; Confidentiality Agreements; Personal Trading; Testing; and Training” (Sep. 27, 2018); and “Expert Networks, Political Intelligence, Meetings With Management, Data Rooms, Information Barriers and Office Sharing” (Oct. 11, 2018).

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