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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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