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February 2019

February 26, 2019 - 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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March 2019

March 5, 2019 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

Course Description: As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Compliance, legal and trading experts will offer an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: best execution, soft dollars, and directed brokerage. This seminar will provide insight into the meaning of “best execution,” and will focus on how strong policies…
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March 7, 2019 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

Course Description: In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by operation of law. Section 206 of the Act (generally referred to as the “anti-fraud” provision) makes it unlawful for an investment adviser to engage in fraudulent, deceptive, or manipulative conduct. The general purpose of an investment adviser’s fiduciary duty is to eliminate conflicts of…
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March 12, 2019 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.
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March 14, 2019 - Event

IACCP Exam Study Session (optional)

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 you. The instructor-led session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the actual exam. Refresh your memory and increase your knowledge and application of securities regulations and best practice. We recommend participating in this training exercise with other candidates to practice…
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April 2019

April 2, 2019 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

Trade errors are inevitable. What distinguishes compliant firms is that they detect and identify them quickly, resolve them fairly and expeditiously, and minimize the likelihood of errors in the first place.
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April 4, 2019 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

Course Description: Compliance professionals must be ever mindful of the ongoing mandates embodied in Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act to maintain, review, test and modify written compliance policies and procedures that are reasonably designed to detect violations and weaknesses in internal controls and compliance systems. Commonly referred to as the “Compliance Programs Rules,” these rules specifically require that advisers and funds implement and maintain policies and procedures designed to detect,…
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April 28 – May 1, 2019 - Event

NRS Spring 2019 Compliance Conference

Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction. Join NRS at our Spring 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs. attendee comments I depend upon my partners in compliance, NRS, to keep me informed + updated on rule changes from myriad regulatory entities. Their Spring and Fall compliance conferences…
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May 2019

May 14, 2019 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers

While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered.
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May 16, 2019 - Event

Data Protection: Privacy, Identity Theft and Cybersecurity

In the past several years regulatory scrutiny of data protection has expanded from basic issues of privacy, to requirements for dealing with identity theft, to detailed assessments of firm-wide cybersecurity.
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