August 23, 2018 - Event

Damage Control: What To Do When Your Firm Breaks the Rules

Course Description: Even the most diligent firms with strong and effective Compliance and Risk Management processes in place can find themselves facing major problems. When risk events inevitably occur, will you know how to respond? The importance of successfully managing and containing these situations cannot be overstated. A crisis can hit in many forms: Two […]
Find out more
September 11, 2018 - 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.
Find out more
September 6, 2018 - 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.”
Find out more
August 28, 2018 - 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.
Find out more
March 20, 2018 - Event

Third-Party Vendor Management

The SEC’s interest in vendor due diligence by investment advisers has grown exponentially over the past several years.
Find out more
March 13, 2018 - Event

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

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.
Find out more
June 21, 2018 - Event

Safely Embracing the Power of Social Media

Social media has transformed the way businesses communicate with consumers. Investment advisers and their employees are exploring new ways to leverage these digital relationships.
Find out more
April 10, 2018 - 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.
Find out more
April 12, 2018 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

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.
Find out more
April 25, 2018 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.
Find out more