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March 2020

March 12, 2020 - 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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April 2020

April 7, 2020 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance 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 9, 2020 - Event

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 21, 2020 - Event

Third Party Due Diligence Practices (IA/BD) (Intermediate) (Webinar)

In January, the SEC’s Office of Compliance Inspections and Examinations issued a release titled Cybersecurity and Resiliency Observations. The release addressed a number of cybersecurity areas including vendor management. Specifically, the release mentioned the importance of four policy and procedure areas: conducting due diligence, monitoring vendors and contract terms, assessing relationship risks, and assessing vendor information security. FINRA has stated the importance of formal documentation related to the managing of a vendor life cycle from onboarding, to ongoing monitoring, through…
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April 22, 2020 - Event

Professional Ethics: Ethical Decision making for Compliance Professionals, (IA) (Intermediate) (Webinar)

Beyond the rules that require the Code of Ethics and the development of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters remediation of unethical practices and sustainable ethical behavior. This session goes beyond the decisions involved in writing policies and procedures and addresses the process for deciding how to enforce and respond to violations of the Code. In this interactive session, you will dissect and respond to various Code of Ethics based scenarios including discussions…
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April 23, 2020 - Event

Critical Skills for Compliance Professionals: Compliance Stress; Sources and Strategies (IA/BD) (Intermediate) (Webinar)

It should come as no surprise that US News has reported that compliance officers experience a high level of stress. Some of that is, of course, the nature of the job. But are there other factors at play? Are those who volunteer to accept compliance responsibilities more willing to “step up to the plate” or “take one for the team” than others in their firms? Is this a personality trait that may drive higher levels of stress? Are there other…
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May 2020

May 5, 2020 - 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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May 7, 2020 - Event

Form CRS: Preparation, Distribution, Procedures and More

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the firm. Investment Advisers are required to file their relationship summary electronically via the Investment Adviser Public Disclosure (IAPD) website. This course will examine the form’s…
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May 12, 2020 - 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 14, 2020 - Event

Compliance Considerations for 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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