September 15, 2022 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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September 13, 2022 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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September 8, 2022 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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August 25, 2022 - Event

IACCP Exam Study Session (optional)

The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
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August 18, 2022 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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August 18, 2022 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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August 17, 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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August 17, 2022 - Event

Form ADV Part 2 and 3: Identifying and Disclosing Conflicts

This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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August 17, 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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August 16, 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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