Events

Loading Events

Upcoming Events

Events Search and Views Navigation

Event Views Navigation

Notice: Utilizing the form controls will dynamically update the content

January 2020

January 9, 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.
Find out more
January 14, 2020 - Event

Form ADV Part 1: Annual Updating Amendment and 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.
Find out more
January 16, 2020 - 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.
Find out more
Young Businesswoman at Presentation Conference
January 23, 2020 - Event

Investment Adviser Performance and Advertising

This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters.
Find out more
Young Businesswoman at Presentation Conference
January 28, 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.
Find out more

February 2020

Young Businesswoman at Presentation Conference
February 4, 2020 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and 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.
Find out more
Young Businesswoman at Presentation Conference
February 6, 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.
Find out more
February 11, 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.
Find out more
February 13, 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.
Find out more
February 20, 2020 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
Find out more
+ Export Events