August 16, 2022 - Event

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

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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August 16, 2022 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.
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August 15, 2022 - Event

Books and Records Requirements for Investment Advisers

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 15, 2022 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
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July 22, 2022 - 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.
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July 22, 2022 - Event

Critical Skills for High-Performance 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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July 21, 2022 - Event

Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More

This course will provide the tools needed so that a compliance professional to ensure business continuity, disaster recovery and succession planning.
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July 21, 2022 - Event

SEC proposed cybersecurity rule: requirements you must understand now

This course is designed to provide an overview of the Global Investment Performance Standards (GIPS®)
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July 21, 2022 - Event

Investment Adviser Performance and Advertising

This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters.
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July 20, 2022 - Event

Two Trading Compliance Challenges: Trade Errors and Valuation

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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