Tag Archive: Core
September 14, 2021 - 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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September 9, 2021 - 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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August 20, 2021 - 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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August 17, 2021 - 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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August 17, 2021 - 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.
Find out more
July 16, 2021 - 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.
Find out more
July 16, 2021 - 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.
Find out more
July 15, 2021 - 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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July 15, 2021 - 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.
Find out more
July 14, 2021 - 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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