Events

Loading Events

Past Events

Events Search and Views Navigation

Event Views Navigation

May 2021

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.
Find out more

June 2021

June 8 – 11, 2021 - Event

Virtual: Investment Adviser Core Compliance Program Symposium

Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
Find out more
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.
Find out more
June 24, 2021 - Event

Complimentary Webinar: Practical guidance on SEC focus areas and preparation pointers

This complimentary webinar provides an overview on areas to focus on now, preparing for the SEC examiners and what to do during the exam.
Find out more

July 2021

July 13 – 16, 2021 - Event

Virtual: Investment Adviser Professional Development Symposium

Attend our Virtual Investment Adviser Compliance Professional Development Symposium to advance your regulatory knowledge while obtaining valuable continuing education credits.
Find out more

August 2021

August 17 – 20, 2021 - Event

Virtual: Investment Adviser Certified Compliance Professional Program Symposium

Attend our virtual Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
Find out more

September 2021

September 9, 2021 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
Find out more
September 14, 2021 - Event

Books and Records Requirements 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.
Find out more
September 15, 2021 - Event

Complimentary Webinar: Things to consider prior to adopting the new Marketing Rule

This complimentary webinar provides an overview on areas to focus on now, preparing for the SEC examiners and what to do during the exam.
Find out more
September 16, 2021 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

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