October 28, 2020 - Event

2020 FINRA Small Firm Virtual Conference

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.
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October 21 – 23, 2020 - Event

NAPFA Fall 2020 Conference

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.
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October 19 – 21, 2020 - Event

2020 NSCP National Conference Exhibitor

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.
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October 26, 2020 - Event

Keynote Address: Cybersecurity

The presentation will encompass the following: Defining Cybersecurity Cyber Crime Loss Statistics Cyber Threats and the Evolution of Technology How Easy it is to be a Hacker Business Email Compromise Ransomware Case Studies What You Can Do to Protect Yourself This virtual course is being taught as part of the Fall 2020 Compliance Conference. To […]
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October 29, 2020 - Event

Latest on the New Proposed DOL Fiduciary Rule

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 […]
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October 29, 2020 - Event

Compliance Stress; Sources and Strategies

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 […]
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October 29, 2020 - Event

How Do I Know I Have Done Enough?

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 […]
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October 28, 2020 - Event

Regulation BI: Policies, Procedures and Practices

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 […]
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October 28, 2020 - Event

Conducting Effective Remote Workplace Audits

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 […]
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October 28, 2020 - Event

Form ADV Writing Effective Disclosures

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 […]
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