August 13, 2020 - Event

Complimentary Webinar: COVID-19 Compliance Review

How adequate is your pandemic response? The pandemic resulting from the novel coronavirus is redefining how investment advisers ensure compliance confidence. From stay-at-home orders to rapidly evolving health guidelines, compliance professionals are presented with a unique set of compliance challenges. This complimentary 30 minute webinar will outline the most common pitfalls related to the ongoing […]
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August 5, 2020 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors & 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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August 5, 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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August 4, 2020 - Event

Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 1 Insider Trading

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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August 4, 2020 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of Whistleblowers

This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.
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August 4, 2020 - Event

Books and Records Requirements for Investment Advisers

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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August 4, 2020 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
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August 6, 2020 - Event

Form ADV Part 2 & 3: Identifying & 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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August 6, 2020 - Event

Form ADV Part 1: Annual Updating Amendment & More

This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.
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August 6, 2020 - Event

Compliance Programs Rules & 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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