Tag Archive: Testable Content


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 7, 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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October 5, 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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September 28, 2021 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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September 23, 2021 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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