Tag Archive: Elective

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.

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

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

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

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.

This course will provide the tools needed so that a compliance professional to ensure business continuity, disaster recovery and succession planning.

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

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

This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.

The course will review the rules that determine who must register with the SEC vs states, and will highlight differences between SEC and state requirements.