Tag Archive: Core
February 9, 2021 - 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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February 4, 2021 - Event
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.
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January 26, 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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January 21, 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.
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January 14, 2021 - Event
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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January 12, 2021 - Event
Form ADV Part 1: Annual Updating Amendment and More
This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.
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January 7, 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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October 29, 2020 - Event
Critical Skills for High-Performance Compliance Professionals: Business Continuity and Disaster Recovery; Lessons Learned in 2020
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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October 28, 2020 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals Amid the Pandemic Response
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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October 27, 2020 - Event
Unpacking the Proposed Advertising and Solicitor Rule
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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