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February 2019

February 7, 2019 - Event

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

Course Description: Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every registered investment adviser firm must adopt codes of ethics that establish standards of conduct and address conflicts that arise from personal trading issues. Many state advisers have also adopted a code of ethics either in response to state mandates or as an industry best practice. Instruction and guidance for this course will focus on identifying the requirements that…
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February 12, 2019 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Course Description: The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course. Section 204A requires investment advisers to establish, maintain and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information by the firm…
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February 21, 2019 - Event

Explore FINRA 2019 Regulatory and Examination Priorities

Course Description: In keeping with the previous year, FINRA released its second exam findings report last year. In 2019, FINRA will continue to improve its exam program focusing on compliance, supervisory, and risk management programs. With the newly released FINRA 2019 Risk Monitoring and Examination Priorities Letter, this course assembles subject matter experts to dissect and interpret this year’s priorities. Find out what new developments are being considered for existing areas and gain insight into emerging trends. Obtain guidance on…
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February 26, 2019 - 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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March 2019

March 5, 2019 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

Course Description: As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Compliance, legal and trading experts will offer an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: best execution, soft dollars, and directed brokerage. This seminar will provide insight into the meaning of “best execution,” and will focus on how strong policies…
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March 7, 2019 - Event

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

Course Description: In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by operation of law. Section 206 of the Act (generally referred to as the “anti-fraud” provision) makes it unlawful for an investment adviser to engage in fraudulent, deceptive, or manipulative conduct. The general purpose of an investment adviser’s fiduciary duty is to eliminate conflicts of…
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March 12, 2019 - 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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March 14, 2019 - Event

IACCP Exam Study Session (optional)

This webinar has been postponed and will be rescheduled. Please continue to visit our events calendar for updates, or follow us on Twitter, LinkedIn or Facebook for further updates. 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…
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April 2019

April 2, 2019 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

Trade errors are inevitable. What distinguishes compliant firms is that they detect and identify them quickly, resolve them fairly and expeditiously, and minimize the likelihood of errors in the first place.
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April 4, 2019 - 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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