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April 2021

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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May 2021

May 18, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules 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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May 19, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach

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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May 20, 2021 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target?

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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June 2021

June 15, 2021 - 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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October 2021

October 12, 2021 - Event

Form ADV Part 2 and 3: Identifying and Disclosing Conflicts

This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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October 27, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
Find out more
October 28, 2021 - Event

Critical Skills for High-Performance Compliance Professionals

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

November 2021

November 9, 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.
Find out more

December 2021

December 9, 2021 - 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.
Find out more
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