October 27, 2021 - Event

Recent Trends in Investment Adviser Enforcement Proceedings (IA) (Intermediate)

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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October 27, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach (IA) (Intermediate) (Webinar)

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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October 26, 2021 - Event

Perspectives from the Regulators (SEC, FINRA, and NASAA) (IA/BD)(Intermediate)

Course Description: Panelists representing the SEC, FINRA and NASAA will share their perspectives on proposed and final rules, current concerns, and areas of focus, what they are seeing as firms begin to reopen following the pandemic, and other issues that can impact your compliance program in 2021, 2022 and beyond. In addition to questions from […]
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October 28, 2021 - Event

Persistent Compliance Challenges with Mutual Fund Share Classes and Wrap Fee Programs (IA) (Intermediate)

Course Description: With the close of the SEC’s Share Class Selection Disclosure Initiative self-reporting window, they are still finding firms that have failed to disclosure the conflicts associated with share class selection. The SEC recently brought an enforcement case against a dually registered adviser that resulted, among other undertakings, with a $125,000 civil penalty. In […]
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October 28, 2021 - Event

How Do I Know I Have Done Enough? (IA/BD) (Intermediate)

Course Description: This is the question that keeps compliance professionals up at night. Firms are required to make “reasonable” efforts to prevent and detect compliance violations – but determining what is “reasonable” is an ongoing challenge. The answer to this will determine the nature and scope of a testing program, the depth and breadth of […]
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October 27, 2021 - Event

ESG Compliance Considerations for Investment Advisers and Private Funds/Equity (IA) (Intermediate)

Course Description: Environmental, social, and corporate governance (ESG) investing is attracting attention from investors and regulators alike. Investment advisers that employ ESG strategies or products must be able to identify the legal, regulatory, and compliance considerations inherent in this investment strategy. This session will address fiduciary duties, ESG data and third party ESG vendors, advertising, […]
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October 27, 2021 - Event

Cybersecurity Program Resiliency: Considerations in Vendor Management (IA/BD) (Intermediate)

Course Description: Regulatory interest in vendor due diligence has grown exponentially over the past several years. As firms adapted to more remote working environments and technology shifted from onsite to third parties, the oversight of these environments and relationships has become more critical to the safekeeping of client and customer information. Our experienced instructors will […]
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October 27, 2021 - Event

Cybersecurity Program Resiliency Considerations in Access Rights and Data Loss Controls (IA/BD) (Intermediate)

Course Description: As regulatory expectations evolve around information security programs, two areas that stand out are access rights and data loss controls. These two areas are often cited as deficiencies in examinations. They are the most critical components in safeguarding information. This session will focus on the common deficiencies in access management and review best […]
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October 28, 2021 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target? (IA/BD) (Intermediate) (Webinar)

Course Description: Questions of CCO personal liability have been a subject of discussion for many years, as it has been the subject of high-profile SEC enforcement cases. Last year brought renewed attention to the issue as the New York City Bar issued a report on CCO liability in the financial sector and SEC Commissioner Hester […]
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October 26, 2021 - Event

Compliance with Remote Supervised Persons and Workplaces (IA/BD) (Intermediate)

Course Description: By now, most firms have been operating on a fully- or partially- remote basis. Some firms may never return to the work environments they had prior to the pandemic. As the workplace changes, firms are evaluating the ad hoc procedures put in place last year and determining how effective, scalable, and testable their […]
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