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August 2022

August 25, 2022 - Event
IACCP Exam Study Session (optional)
The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
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September 2022

September 8, 2022 - 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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September 13, 2022 - 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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September 15, 2022 - 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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September 20, 2022 - 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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September 22, 2022 - 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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September 27, 2022 - 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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October 2022

October 6, 2022 - 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.
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October 11, 2022 - 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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October 13, 2022 - 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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