May 18, 2021 - Event

Recent Trends in Broker Dealer Administrative and Enforcement Proceedings

Course Description: This session will review notable enforcement cases and disciplinary actions and discuss how these cases can provide insight into potential weaknesses in your firm’s compliance program. The panel will highlight violations from these proceedings firms may use to evaluate their written supervisory procedures (“WSPs”) and practices. Learning Objectives After attending this session, you […]
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May 19, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach

Course Description: As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks. While there are rules that require Code of Ethics, and while we can develop procedures to mitigate risks of certain types of unethical behavior, ethical decision-making requires different (and perhaps, antithetical) skills. As firms […]
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May 19, 2021 - Event

Private Fund Compliance Programs

Course Description: In order to develop and enforce effective procedures to address the SEC’s newer rules and guidance for private funds, firms that manage private funds must have a solid compliance program on which to build. This session will identify the rules and SEC guidance (with a special focus on recent Risk Alerts) applicable to […]
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May 17, 2021 - Event

Perspective from the Regulators

Course Description: Panelists representing the SEC, FINRA and NASAA will share their perspectives on proposed and final rules, current concerns and areas of focus, what they are seeing following the one-year anniversary of the pandemic, and other issues that can impact your compliance program in 2021, 2022 and beyond. In addition to questions from the […]
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May 18, 2021 - Event

Persistent Compliance Challenges with Mutual Fund Share Classes and Wrap Fee Programs

Course Description: In the mid- to late-2010s, the SEC focused its attention on both mutual fund share class selection and wrap fee programs. The Commission identified instances where fees paid by mutual fund investors were higher than others available. During the same period, the SEC identified instances in which full and fair disclosure for trading […]
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May 18, 2021 - Event

Persistent Compliance Challenges in Custody

Course Description: While it has been over a decade since the custody rules were last revised, custody remains one of the most complex (and least intuitive) issues for investment advisers. It seems that everyone still has questions about applying custody rules and guidance to their own situations. The one thing you must not do is […]
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May 20, 2021 - Event

How Do I Know I Have Done Enough?

Course Description: This is the question that keeps compliance professionals up at night. Firms are required to make “reasonable” efforts to prevent and detect compliance violations – but determining what is “reasonable” is an ongoing challenge. The answer to this will determine the nature and scope of a testing program, the depth and breadth of […]
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May 19, 2021 - Event

GIPS for Investment Advisers: Marketing Performance

Course Description: Compliance with 2020 GIPS standards has arrived. With the new standards comes some new wrinkles to performance advertising. Investment advisers claiming compliance with GIPS will need to address the new standards in their performance marketing. This session will briefly review the new standards and then address how they impact an investment adviser’s performance […]
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May 19, 2021 - Event

Form ADV Writing Effective Disclosures

Course Description: As fiduciaries, investment advisers must provide “full and fair” disclosure to clients, primarily through Form ADV Part 2A. The SEC recently issued an Interpretive Release on the meaning of “fiduciary” that provided clear guidance on what constitutes “full and fair” disclosure. This session will not only review the current contours of “full and […]
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May 17, 2021 - Event

FINRA Examination of Broker Dealers

Course Description: Each year FINRA publishes its Risk Monitoring and Examination Priorities letter. This session will discuss how these priorities will impact your examination activities. You will learn from previous FINRA examination findings and observation reports how to develop effective compliance practices. This session will examine the strategic planning required for a successful examination in […]
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