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December 2018

Best Execution Compliance Issues – SEC Risk Alert Review
December 18, 2018 - Event

Best Execution Compliance Issues – SEC Risk Alert Review

Course Description: How does an adviser determine if it is obtaining best execution? Each firm must determine the answer for itself based on a variety of objective and subjective criteria. During this course our instructors will review the July 11, 2018 Risk Alert and take a deep dive into the factors that constitute best execution to help you confidently identify them. Through the use of samples and scenarios the practical application of best execution activities will be explored helping uncover…
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January 2019

January 10, 2019 - Event

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

Course Description: Understanding the intricacies and implications of the Investment Advisers Act of 1940 (Advisers Act) is fundamental to the core responsibilities of any investment adviser compliance professional. A section-by-section review of the Advisers Act brings renewed focus to the root source of each requirement, many of which are likely to be encountered in compliance departments of firms of every size. Everyday situations are incorporated to bring the Advisers Act to life, including practical advice about writing, implementing and maintaining…
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January 15, 2019 - Event

Form ADV Part 1: Annual Updating Amendment and More

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”
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January 17, 2019 - Event

Form ADV Part 2: Identifying and Disclosing Conflicts

Five years ago the SEC approved a new Form ADV Part 2, a “plain English” narrative approach to client disclosure, which was put into effect in 2011.
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January 24, 2019 - Event

Investment Adviser Performance and Advertising

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
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January 29, 2019 - Event

Books and Records Requirements for Investment Advisers

Course Description: For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recent regulatory trends and enforcement actions. Given these trends, advisers need to be particularly concerned about the accuracy, quality, and completeness of the firm’s books and records as required by Rule 204-2 of the Advisers Act. Generally speaking, at the outset of an examination, the SEC will form…
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February 2019

February 5, 2019 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

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: fiduciary duty and client investment objectives/restrictions, aggregation, allocation, personal and proprietary trading, principal and agency cross transactions, side-by-side management, effective supervisory systems, and special considerations…
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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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