January 2019
Compliance Programs Rules and Strategies for Managing Your Annual Review
$239.00
Compliance professionals must be ever mindful of the ongoing mandates embodied in Rule 206(4)-7 under the Investment Advisers Act and…
Find out more »Form ADV Part 1: Annual Updating Amendment and More
$239.00
Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.” In…
Find out more »Form ADV Part 2: Identifying and Disclosing Conflicts
$239.00
The Form ADV Part 2 is a “plain English” narrative approach to client disclosure. Investment Advisers are required to file…
Find out more »Investment Adviser Performance and Advertising
$239.00
Investment adviser advertising continues to be one of the top problem areas identified by the SEC. Advertising and performance often…
Find out more »Books and Records Requirements for Investment Advisers
$239.00
For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the…
Find out more »February 2019
Trading Practices, Portfolio Compliance and Related Enforcement Cases
$239.00
As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and…
Find out more »Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
$239.00
Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every…
Find out more »Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
$239.00
The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the…
Find out more »SEC Examination and Enforcement Update for Investment Advisers
$239.00
This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of…
Find out more »March 2019
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
$239.00
As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and…
Find out more »Understanding Fiduciary Duties and a Sweep of Anti-Fraud Provisions of the Advisers Act
$239.00
In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the…
Find out more »Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
$239.00
The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of…
Find out more »April 2019
Two Trading Compliance Challenges: Valuation and Trade Errors
$239.00
Trade errors are inevitable. What distinguishes compliant firms is that they detect and identify them quickly, resolve them fairly and…
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