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

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

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.

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

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