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January 2021

January 21, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules 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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January 26, 2021 - 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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February 2021

February 4, 2021 - 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.
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February 9, 2021 - 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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February 11, 2021 - 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.
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February 18, 2021 - 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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February 23, 2021 - 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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March 2021

March 9, 2021 - 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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March 11, 2021 - 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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March 16, 2021 - 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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