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November 2018

Cyber Network Technology
November 6, 2018 - Event

Closing the Circle: Matching Advertising, Contracts, Disclosures and Procedures

Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh.
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November 7, 2018 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.
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November 8, 2018 - Event

Critical Skills for High-Performance Compliance Professionals

While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging.
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November 15, 2018 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.
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November 20, 2018 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

Course Description: Compliance professionals must be ever mindful of the ongoing mandates embodied in Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act to maintain, review, test and modify written compliance policies and procedures that are reasonably designed to detect violations and weaknesses in internal controls and compliance systems. Commonly referred to as the “Compliance Programs Rules,” these rules specifically require that advisers and funds implement and maintain policies and procedures designed to detect,…
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November 29, 2018 - Event

IACCP Exam Study Session (optional)

Course Description: Practice and preparation are two ways to help you improve your IACCP test results. This IACCP examination study session will help accomplish both for you. The instructor-led session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the actual exam. Refresh your memory and increase your knowledge and application of securities regulations and best practice. We recommend participating in this training exercise with other candidates to practice…
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December 2018

December 4, 2018 - Event

Investment Adviser Regulatory Update

This session will provide you with a virtual, real-time briefing on regulatory reform and other recent and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen. Topics to be addressed include:
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December 6, 2018 - Event

NRS 2018 Compliance Forum

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) often issues risk alerts to provide information on common deficiencies that their staff has cited in recent examinations of advisers.
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December 6, 2018 - Event

Corporate, Branch and Registered Representative Supervision

Course Description: The terms ‘Supervision’ and ‘Compliance’ are often used interchangeably, but they encompass very different, albeit interrelated, functions.
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December 11, 2018 - Event

Compliance Professional Summit

Course Description: Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. New regulatory leadership and initiatives are changing securities regulation in fundamental ways. More demanding regulatory inspections and growing expectations (such as social media and cloud computing) are straining compliance resources. Now, more than ever, the periodic identification and assessment of both compliance and operations risk is fundamental to the compliance discipline and essential for an investment adviser to understand its mitigation needs and resource allocation…
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