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

Test
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March 6, 2019 - Event

Test – Event Series

Test
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June 13, 2019 - Event

Test – Event Series

Test
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February 12, 2019 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Course Description: The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course. Section 204A […]
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June 20, 2019 - Event

Compliance Considerations for Elder Investors and Financial Exploitation

Course Description Coming Soon
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July 25, 2019 - Event

State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators

Course Description: The North American Securities Administrator Association (NASAA) Coordinated Exams Program is a biennial initiative conducted to identify common investment adviser deficiencies. NASAA issues a comprehensive report that documents examination outcomes from a sample of state level investment advisers and provides suggested best practices to avoid regulatory violations. The last report (2017) recorded 1,227 […]
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