 Featured Event |
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Apr
24
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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.
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Apr
23
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Monday
- Thursday
1:00 PM
- 2:00 PM
(ET)
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Apr
24
|
Tuesday
1:15 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.
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Apr
25
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Wednesday
1:30 PM
- 3:30 PM
(ET)
As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks. While there are rules that require Codes of Ethics, and while we can develop procedures to mitigate risks of certain types of unethical behavior, ethical decision-making requires different (and, perhaps, antithetical) skills. In this engaging interactive session you will dissect and respond to various ethical-based scenarios as well as join in discussions and commentary with seasoned industry professionals.
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Apr
26
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Thursday
11:45 AM
- 1:45 PM
(ET)
Agility in a compliance department is severely tested in times of crisis. If you worked in compliance in 2008, you remember the devastating impact it had on your firm. If you did not, you may not realize the many effects it had on your current role and what your firm and the regulators expect of you. On the 10th anniversary of the 2008 meltdown in the financial services industry, this session will review the events of that tumultuous year, the responses by compliance departments in firms of all sizes, and the lasting impact on the financial services industry.
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May
8
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Tuesday
1:00 PM
- 3:00 PM
(ET)
While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered.
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