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October 2022

October 13, 2022 - 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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October 18, 2022 - 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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October 20, 2022 - 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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October 25, 2022 - 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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October 27, 2022 - 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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November 2022

November 8 – 10, 2022 - Event

ComplyConnect Conference & Expo

Why ComplyConnect? Education. Training. Industry insight. It all comes together at the ComplyConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. The first annual ComplyConnect Conference and Expo answers a very real need within the compliance industry, providing the opportunity to connect and engage with peers and industry leaders in…
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November 9, 2022 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (Webinar)

Formerly scheduled for October 26 Course Description: A new groundbreaking study by researchers at the University of Oregon shows that ethical lapses are likely to rise significantly in IA firms that have been acquired by private equity. While the results of this study are important for PE-owned firms, the possible origins of these ethical issues have profound implications for all advisers. This session will include a presentation from one of the authors of this study and a discussion by industry…
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November 10, 2022 - Event

Critical Skills for High-Performance Compliance Professionals: Effective Compliance Communication (Webinar)

Formerly scheduled for October 27 Course Description: Questions of CCO personal liability have increased in recent years, not least through CCOs being named in high-profile SEC enforcement cases. Indeed, the New York City Bar has issued a report on CCO liability in the financial sector and SEC Commissioner Hester Peirce has spoken on the need for a new liability framework. Compliance professionals need to understand the risks and obstacles they face and to develop strategies to address them. This session…
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November 22, 2022 - Event

RIA Year-End Compliance Check-up

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.
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December 2022

December 1, 2022 - Event

Lessons Learned about the New IA Marketing Rule

Formerly scheduled for October 25 Course Description: All of November 4, all SEC-registered investment advisers are required to restructure their entire marketing and referral programs to meet the requirements of revised Rule 206(4)-1(the new Marketing Rule). Taking place less than 4 weeks after the new rule becomes mandatory, this course is essential for any firm still coming to grips with the drastically different requirements for advertising, marketing and soliciting clients. This session will not only focus on the latest SEC…
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