May 8, 2018 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers

While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered.
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June 19, 2018 - Event

A Tailored Compliance Testing Program for Investment Advisers

A central and necessary component of a sound compliance program is testing the firm’s actual compliance with its written policies and procedures.
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May 22, 2018 - Event

Investment Adviser Regulatory Update

This session will provide you with a virtual, real-time briefing on regulatory reform and other recent and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen. Topics to be addressed include:
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May 17, 2018 - Event

Cloud Computing for Compliance

The use of cloud computing has grown in the adviser and broker-dealer business model.
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May 15, 2018 - Event

Data Protection: Privacy, Identity Theft and Cybersecurity

In the past several years regulatory scrutiny of data protection has expanded from basic issues of privacy, to requirements for dealing with identity theft, to detailed assessments of firm-wide cybersecurity.
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Cyber Network Technology
April 24, 2018 - Event

Closing the Circle: Matching Advertising, Contracts, Disclosures and Procedures

Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh.
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April 5, 2018 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.
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July 10, 2018 - Event

Applying New Customer Due Diligence Requirements in AML Programs for Broker-Dealers

In 2016, FinCEN issued a Final Rule for Customer Due Diligence (CDD) under the Bank Secrecy Act that impacted not just banks but other financial institutions.
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September 13, 2018 - Event

Investment Adviser Performance and Advertising

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