June 24, 2021 - Event

Complimentary Webinar: Practical guidance on SEC focus areas and preparation pointers

This complimentary webinar provides an overview on areas to focus on now, preparing for the SEC examiners and what to do during the exam.
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May 18, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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February 25, 2021 - Event

Complimentary Webinar: Stay ahead of critical compliance requirements in 2021

With 2020 in the rear-view mirror, 2021 promises to provide a continuous stream of compliance challenges for your firm. Already, we are seeing Risk Alerts pertaining to foreign investments, changes to critical operational regulations, and an increase in examinations. This 30 minute complimentary webinar will give you guidance on where to focus your compliance program […]
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May 4, 2021 - Event

Compliance Considerations: Elder Investors and Financial Exploitation

This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.
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October 12, 2021 - Event

Form ADV Part 2 and 3: Identifying and Disclosing Conflicts

This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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March 23, 2021 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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November 23, 2021 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance, and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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April 8, 2021 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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December 2, 2021 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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January 21, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
Find out more