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 […]

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.

Course Description: This course is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Whether you are contemplating a compliance position or have recently assume a role in compliance, this course will help introduce the structure of the SEC, federal and state investment adviser regulation, and key issues and […]

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 […]

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 actual exam. Refresh your […]

Course Description: The terms ‘Supervision’ and ‘Compliance’ are often used interchangeably, but they encompass very different, albeit interrelated, functions.

Course Description: Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. New regulatory leadership and initiatives are changing securities regulation in fundamental ways. More demanding regulatory inspections and growing expectations (such as social media and cloud computing) are straining compliance resources. Now, more than ever, the periodic identification and assessment of […]

Course Description: This timely course gives you the opportunity to review, identify and discuss investment adviser compliance action items that should be part of the compliance officer’s year-end checklist. To help review the current year and plan for the future, instructors will walk you through key compliance resolutions for the year ahead. Essential to this […]

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 […]

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 […]