This session will review the revolutionary changes and identify and discuss possible approaches firms may take to address them in their policies and procedures.

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

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

This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters.

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.