Webinar Registration Form

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Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More June 18, 2019
Compliance Considerations for Elder Investors and Financial Exploitation June 20, 2019
IACCP Exam Study Session June 25, 2019
State-Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators July 25, 2019
Private Fund Compliance Considerations August 15, 2019
Meeting the Cybersecurity Compliance Challenge August 20, 2019
GIPS for Investment Advisers August 22, 2019
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More September 5, 2019
Form ADV Part 1: Annual Updating Amendment and More September 10, 2019
Form ADV Part 2: Identifying and Disclosing Conflicts September 12, 2019
Investment Adviser Performance and Advertising September 17, 2019
Topic TBD October 16, 2019
Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP CE Ethics credit) October 17, 2019
Critical Skills for High-Performance Compliance Professionals October 18, 2019
Books and Records Requirements for Investment Advisers October 29, 2019
Trading Practices, Portfolio Compliance and Related Enforcement Cases October 31, 2019
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers November 5, 2019
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts November 7, 2019
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage November 12, 2019
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act November 14, 2019
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements November 19, 2019
RIA Year-End Compliance Check-up November 21, 2019
IACCP Exam Study Session November 26, 2019
Two Trading Compliance Challenges: Valuation and Trade Errors December 3, 2019
Compliance Programs Rules and Strategies for Managing Your Annual Review December 5, 2019
Compliance Professional Summit December 10, 2019
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Only $239 per attendee for each seminar
Team Training Discount - additional attendees from the same firm receive a 15% discount
custom training specific seminars can be arranged, call for pricing

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