May 18, 2021 - Event

The DOL’s New Prohibited Transaction Exemption (PTE) for Plans and IRAs; Yes, it’s finally here! (IA/BD)

Course Description: In February 2021 the DOL announced that PTE 2020-02 would become effective on February 16. The PTE, designed to replace the late, unlamented fiduciary rule from 2016, sets down the requirements for providing advice to ERISA plans and to IRAs. The PTE confirms the reinstatement of the five-part test for determining whether a […]
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May 20, 2021 - Event

What on Earth are They Doing in Washington? – Administrative Law for Compliance Professionals

Course Description: Your CEO hears about a change in a rule that could dramatically change the way your firm does business. You are tasked with determining, at once, the status of the change, the time available before compliance with the change is required, and the likely impact on your firm. To provide a reasonable answer, […]
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May 18, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

Course Description: The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has allowed over a year before compliance with the new rules are required, many firms will want to take advantage of many […]
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May 17, 2021 - Event

SEC Examinations of Investment Advisers – Small Firm

Course Description: Perhaps the greatest compliance challenge for a small firm is to adapt to rules, requirements and requests that also apply to firms 10, 20 or 50 times your size. SEC examinations are no exception – when the SEC announces it will be conducting a remote exam, you are likely to be required to […]
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May 17, 2021 - Event

SEC Examinations of Investment Advisers – Large Firm

Course Description: What a difference a year makes! Your large firm now encompasses offices, branch offices, temporary offices, houses, apartments, summer homes, parents’ homes and more. These dramatic shifts in how your firm does business has not stopped the SEC from maintaining a vigorous schedule of off-site examinations. That means you’re still responsible for documenting […]
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May 18, 2021 - Event

Regulation BI: Preparing for Exam Focus

Course Description: As we approach the anniversary of Regulation BI’s compliance date, are you prepared for the regulatory exam focus? What are the key areas of your compliance processes and how are you testing your duty and disclosure obligations? Panelists will review what firms have encountered post implementation and provide practical guidance in addressing common […]
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May 18, 2021 - Event

Recent Trends in Investment Adviser Enforcement Proceedings

Course Description: Perhaps our most popular session! Our panelists provide fresh, witty and candid insight on key cases while explaining how these cases apply to your firm. The panel will also consider whether recent cases represent new enforcement trends and whether the current cases suggest new or different directions in the SEC’s thinking. This is […]
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May 18, 2021 - Event

Recent Trends in Broker Dealer Administrative and Enforcement Proceedings

Course Description: This session will review notable enforcement cases and disciplinary actions and discuss how these cases can provide insight into potential weaknesses in your firm’s compliance program. The panel will highlight violations from these proceedings firms may use to evaluate their written supervisory procedures (“WSPs”) and practices. Learning Objectives After attending this session, you […]
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May 19, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach

Course Description: 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 Code 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. As firms […]
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May 19, 2021 - Event

Private Fund Compliance Programs

Course Description: In order to develop and enforce effective procedures to address the SEC’s newer rules and guidance for private funds, firms that manage private funds must have a solid compliance program on which to build. This session will identify the rules and SEC guidance (with a special focus on recent Risk Alerts) applicable to […]
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