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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November 12, 2020 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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October 13, 2020 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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October 8, 2020 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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October 6, 2020 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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October 1, 2020 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.
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