February 24, 2022 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

In this interactive session, attendees will dissect and respond to various ethically based scenarios, joined in discussion with seasoned industry professionals.
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May 19, 2022 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Staying out of the Crosshairs

Questions of CCO personal liability have increased in recent years, not least through CCOs being named in high-profile SEC enforcement cases.
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May 18, 2022 - Event

Professional Ethics: Navigating Thorny Ethical Decision-Making for Compliance Professionals

This session will present compelling, if perhaps thorny, questions designed to help identify and promote ethical behavior in your firm.
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May 17, 2022 - Event

Countdown to the New IA Marketing Rules

The clock is ticking! SEC-registered investment advisers have until November 4 to restructure their entire marketing and referral programs to meet the requirements of revised rule 206(4)-1.
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February 17, 2022 - 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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December 15, 2022 - 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 13, 2022 - 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 8, 2022 - 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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December 6, 2022 - 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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November 22, 2022 - 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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