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January 2021

January 12, 2021 - Event

Form ADV Part 1: Annual Updating Amendment and More

This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.
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January 14, 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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January 21, 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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January 26, 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.
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February 2021

February 4, 2021 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers

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.
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February 9, 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.
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February 11, 2021 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
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February 18, 2021 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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February 23, 2021 - Event

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

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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February 25, 2021 - Event

Complimentary Webinar: Stay ahead of critical compliance requirements in 2021

With 2020 in the rear-view mirror, 2021 promises to provide a continuous stream of compliance challenges for your firm. Already, we are seeing Risk Alerts pertaining to foreign investments, changes to critical operational regulations, and an increase in examinations. This 30 minute complimentary webinar will give you guidance on where to focus your compliance program in 2021. Our compliance experts will provide you with a high level overview on what to expect including: What to potentially expect from the change…
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