 Featured Event |
|
Apr
24
|
|
|
Tuesday1:15 PM - 3:15 PM (ET)
Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh. In practice, as these documents are often created by different persons with different sets of goals, and may be updated at different times, there may be points on which they contradict each other. What should you do when you find areas of disagreement among these key documents? In this interactive session panelists and attendees will examine some common (and not-so-common) examples of material discrepancies and review the various steps that may be used to correct them.
|
|
Feb
14
|
Tuesday
1:00 PM
- 3:00 PM
(ET)
In October 2013, the North American Securities Administrator Association (NASAA) issued a report based upon examinations of 1,130 state level investment advisers. The examinations found 6,482 deficiencies in 20 categories that included books and records, financials, privacy, advertising, and supervisory/compliance, to name a few. NASAA’s Coordinated Exams Program is a biennial initiative conducted to identify common investment adviser deficiencies.
|
|
Feb
28
|
Tuesday
1:00 PM
- 3:00 PM
(ET)
The ongoing surge of insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course.
|
|
Mar
9
|
Thursday
1:00 PM
- 3:00 PM
(ET)
Speakers: Jonathan Blattmachr: Associate, BakerHostetler LLP | Diostenes Medina: Consultant, NRS
|
|
Mar
14
|
Tuesday
1:00 PM
- 3:00 PM
(ET)
In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by operation of law. Section 206 of the Act (generally referred to as the "anti-fraud" provision) makes it unlawful for an investment adviser to engage in fraudulent, deceptive, or manipulative conduct. The general purpose of an investment adviser's fiduciary duty is to eliminate conflicts of interest, and to prevent an adviser from taking unfair advantage of a client's trust.
|
|
Mar
16
|
Thursday
1:00 PM
- 3:00 PM
(ET)
Speaker - John Van Der Wal: Consultant, NRS
|
|