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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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March 18, 2021 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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March 23, 2021 - Event

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

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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April 2021

April 8, 2021 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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April 13, 2021 - 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.
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April 20, 2021 - Event

State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators

The course will review the rules that determine who must register with the SEC vs states, and will highlight differences between SEC and state requirements.
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April 22, 2021 - Event

Private Fund Compliance Considerations

This course will help compliance, legal and management professionals stay informed about regulatory priorities and initiatives for private fund managers.
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May 2021

May 4, 2021 - Event

Compliance Considerations: Elder Investors and Financial Exploitation

This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.
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