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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