July 11, 2019 - Event

Urgent: What the SEC releases require you to do ahead of RegBI

On June 5 the SEC issued adopting releases for Reg BI and Form CRS, and also issued two interpretive releases outlined below: The meaning of “fiduciary” as applied to the Advisers Act; The meaning of “solely incidental” when distinguishing brokerage and advisory services While most attention has been directed to Reg BI and Form CRS, […]
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May 30, 2019 - Event

IACCP Exam Study Session (optional)

Course Description: Practice and preparation are two ways to help you improve your IACCP test results. This IACCP examination study session will help accomplish both for you. The instructor-led session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the actual exam. Refresh your […]
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April 29, 2019 - Event

New to Investment Adviser Compliance

Course Description: This session is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Our panelists will make sense of the structure of the SEC, state investment adviser regulation, and will review the key issues and common obstacles that you will encounter when designing and implementing your compliance program.
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May 1, 2019 - Event

Critical Skills for High-Performance Compliance Professionals – Best Execution Compliance Issues: Alert Review, Best Practices and Practical Application

Course Description: FACT: Broker-dealers and investment advisers have different definitions of “best execution”. This simple fact is at the root of many of the problems firms have in determining whether or not they are achieving best execution. If you have a strictly BD or an IA background, you may encounter this confusion in working with […]
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April 30, 2019 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

Course Description: Beyond the rules that require Code of Ethics and the developing of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters unethical remediation and sustained ethical behavior. This session goes beyond the decisions involved in writing policies and procedures and addresses the process for deciding how to enforce and […]
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March 14, 2019 - Event

IACCP Exam Study Session (optional)

This webinar has been postponed and will be rescheduled. Please continue to visit our events calendar for updates, or follow us on Twitter, LinkedIn or Facebook for further updates. Course Description: Practice and preparation are two ways to help you improve your IACCP test results. This IACCP examination study session will help accomplish both for […]
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August 15, 2019 - Event

Private Fund Compliance Considerations

Private fund managers face many regulatory challenges that differ from other types of investment advisers.
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August 20, 2019 - Event

Meeting the Cybersecurity Compliance Challenge

As the industry’s widespread focus on information breaches and risks associated with data protection continues, the SEC and FINRA made it clear in their examinations that cybersecurity is a priority.
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August 22, 2019 - Event

Global Investment Performance Standards (GIPS®) for Investment Advisers

This course is designed to provide an overview of the Global Investment Performance Standards (GIPS®)
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February 5, 2019 - Event

Test – Event Series

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