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

The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.

This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.

This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.

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.

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

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.