Course Description: What a difference four years make! In June the US Department of Labor issued new proposals that, among other things, would enshrine the old tests to determine who is an ERISA fiduciary, allow ERISA and IRA fiduciaries to receive compensation for recommending certain types of rollovers, engage in principal trades, and require fiduciaries […]

Course Description: Your job was stressful before the pandemic kicked everything up a notch or ten. Even before the current crisis, US News reported than compliance officers experience a high level of stress. Some of that is, of course, the nature of the job. But are there other factors at play? Are those who volunteer […]

Course Description: How much is enough? This is a question compliance professionals are always asking themselves – when mapping out a testing program, determining the impact of new regulations, developing (or defending) budgets, and (perhaps most often) when unsuccessfully trying to sleep. This panel will provide the tools you need to assess whether you have […]

Course Description: It’s here! Not even lawsuits and widespread disease could hold off Regulation Best Interest (“Reg BI”). By now you’ve finalized your compliance program. While you continue shaking the bugs out of your new compliance processes, it is time to test the controls you developed to address the disclosure, care and conflict of interest […]

Course Description: IA and BD compliance departments must regularly review/inspect/audit their firms’ workplaces – even when those workplaces are entirely virtual or are office/virtual hybrids. While each firm must develop a process suitable for its own situation, this session will walk you through the steps all firms need to map out a scalable, reusable process […]

Course Description: What constitutes “full and fair” disclosure? How does your Part 2A measure up? Last June’s SEC Interpretive Release on the meaning of “fiduciary” should have caused every adviser to carefully review and, if needed, revise Form ADV Part 2A disclosures in light of the SEC’s guidance. This session will not only review the […]

Course Description: The SEC’s Office of Compliance Inspections and Examinations (OCIE) just issued a Risk Alert for investment advisers to private funds. Among the risks identified, OCIE noted that it had determined that some private fund advisers did not value client assets in accordance with disclosed valuation policies, leading to overvaluation of those assets and […]

Course Description: While the SEC considers revising IA advertising rules, FINRA has provided Regulatory Notices and Notice to Members (NTMs) clarifying communication practices under Rule 2210. This session will review key areas and concepts when communicating with the public and discuss regulatory notices related to social media. This interactive session will also allow you to […]

Course Description: While the SEC considers revising the advertising rules, the current rules must still be understood and carefully followed. Investment advisers must still employ decades-old rules while finding fresh and effective ways of offering their services to a younger cohort of prospective clients. This session will review the fundamental concepts of IA advertising and […]

Course Description: Over the last four years, senior investors have had a spotlight in FINRA’s regulatory priorities. Concern for an aging client population has led to additional laws and rules, including the Senior Safe Act and FINRA Rules 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information). The COVID-19 pandemic has added additional […]