Tag Archive: Elective


December 14, 2021 - Event

Compliance Professional Summit

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.
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December 7, 2021 - Event

RIA Year-End Compliance Check-up

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.
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December 2, 2021 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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November 23, 2021 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance, and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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August 19, 2021 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
Find out more
August 19, 2021 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance, and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
Find out more
August 17, 2021 - Event

SEC Examination and Enforcement Update for Investment Advisers

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.
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July 15, 2021 - Event

SEC Examination and Enforcement Update for Investment Advisers

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.
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July 14, 2021 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance, and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
Find out more
July 13, 2021 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
Find out more