April 23, 2020 - Event

Critical Skills for Compliance Professionals: Compliance Stress; Sources and Strategies (IA/BD) (Intermediate) (Webinar)

It should come as no surprise that US News has reported that 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 to accept compliance responsibilities more willing to “step up to the plate” or […]
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April 22, 2020 - Event

Professional Ethics: Ethical Decision making for Compliance Professionals, (IA) (Intermediate) (Webinar)

Beyond the rules that require the Code of Ethics and the development of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters remediation of unethical practices and sustainable ethical behavior. This session goes beyond the decisions involved in writing policies and procedures and addresses the process for deciding how to enforce […]
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April 21, 2020 - Event

Third Party Due Diligence Practices (IA/BD) (Intermediate) (Webinar)

In January, the SEC’s Office of Compliance Inspections and Examinations issued a release titled Cybersecurity and Resiliency Observations. The release addressed a number of cybersecurity areas including vendor management. Specifically, the release mentioned the importance of four policy and procedure areas: conducting due diligence, monitoring vendors and contract terms, assessing relationship risks, and assessing vendor […]
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May 7, 2020 - Event

Form CRS: Preparation, Distribution, Procedures and More

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the […]
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February 27, 2020 - Event

Form CRS: Preparation, Distribution, Procedures and More

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the […]
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December 8, 2020 - Event

Compliance Professional Summit

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.
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December 3, 2020 - Event

IACCP Exam Study Session (optional)

The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
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December 1, 2020 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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November 19, 2020 - Event

RIA Year-End Compliance Check-up

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.
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November 17, 2020 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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