July 17, 2018 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Course Description: The ongoing surge of insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course. […]
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July 18, 2018 - Event

Form ADV Part 2: Identifying and Disclosing Conflicts

Course Description: 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. The adopted rule changes require investment advisers to file their brochures electronically and the public has access to these brochures via the IAPD. This course will […]
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July 18, 2018 - Event

Form ADV Part 1: Annual Updating Amendment and More

Course Description: Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.” In this session, experts will systematically walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers (including private fund advisers). This session will also review the method of calculating “regulatory […]
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July 18, 2018 - Event

Investment Adviser Performance and Advertising

Course Description: Investment adviser advertising continues to be one of the top problem areas identified by the SEC. Advertising and performance often present complex issues for all advisers, as well as many traps for the unwary, frequent exam deficiencies and, in the worst cases, potential for SEC enforcement actions. The SEC has devoted considerable attention […]
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July 19, 2018 - Event

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

Course Description: Your firm has a code of ethics based on existing regulatory requirements. Now what? Moving beyond the code, how do you address ethical dilemmas in your firm? This practical and interactive ethics workshop uses scenario-based training and group discussion to engage attendees in analyzing and responding to ethical issues confronted by compliance professionals […]
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July 19, 2018 - Event

Critical Skills for High-Performance Compliance Professionals

Course Description: While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging. Critical thinking, strategic planning, leadership, empowerment, organizational, research, technology, communication and teaching skills weigh heavily in how effectively and pervasively a […]
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July 19, 2018 - Event

SEC Examination and Enforcement Update for Investment Advisers

Course Description: 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. Sample document request lists will be provided to review specific requested documents for different types of firms. Our expert presenters will address: SEC’s Latest […]
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