Tag Archive: Core


June 8, 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
June 8, 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.
Find out more
June 8 – 11, 2021 - Event

Virtual: Investment Adviser Core Compliance Program Symposium

Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
Find out more
May 20, 2021 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target?

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
May 19, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach

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
May 18, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules 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
April 13, 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
March 9, 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.
Find out more
February 23, 2021 - 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.
Find out more
February 18, 2021 - 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.
Find out more