Tag Archive: IACCP

December 9, 2021 - Event
IACCP Exam Study Session (optional)
The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
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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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November 18, 2021 - Event
Two Trading Compliance Challenges: Valuation and Trade Errors
This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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November 16, 2021 - Event
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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November 11, 2021 - Event
Trading Practices, Portfolio Compliance and Related Enforcement Cases
This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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November 9, 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.
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October 28, 2021 - Event
Critical Skills for High-Performance Compliance Professionals
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, 2021 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals
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 12, 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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