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Webinar Registration Form

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Investment Adviser Performance and Advertising
Investment Adviser Performance and Advertising
Tuesday, September 22, 2020
9/22/2020
Books and Records Requirements for Investment Advisers
Books and Records Requirements for Investment Advi...
Thursday, September 24, 2020
9/24/2020
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
Investment Adviser Codes of Ethics: The Rule Plus ...
Tuesday, September 29, 2020
9/29/2020
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Two Persistent Compliance Challenges: Insider Trad...
Thursday, October 1, 2020
10/1/2020
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
Understanding Fiduciary Duties and a Sweep of Cert...
Tuesday, October 6, 2020
10/6/2020
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Thursday, October 8, 2020
10/8/2020
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Tuesday, October 13, 2020
10/13/2020
Unpacking the Proposed Advertising and Solicitor Rule
Unpacking the Proposed Advertising and Solicitor R...
Tuesday, October 27, 2020
10/27/2020
Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP CE Ethics credit)
Professional Ethics: Ethical Decision-Making for C...
Wednesday, October 28, 2020
10/28/2020
Critical Skills for High-Performance Compliance Professionals
Critical Skills for High-Performance Compliance Pr...
Thursday, October 29, 2020
10/29/2020
Trading Practices, Portfolio Compliance and Relate...
Thursday, November 12, 2020
11/12/2020
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Trading Compliance: Best Execution, Soft Dollars a...
Tuesday, November 17, 2020
11/17/2020
RIA Year-End Compliance Check-up
RIA Year-End Compliance Check-up
Thursday, November 19, 2020
11/19/2020
Two Trading Compliance Challenges: Valuation and Trade Errors
Two Trading Compliance Challenges: Valuation and T...
Tuesday, December 1, 2020
12/1/2020
IACCP Exam Study Session
IACCP Exam Study Session
Thursday, December 3, 2020
12/3/2020
Compliance Professional Summit
Compliance Professional Summit
Tuesday, December 8, 2020
12/8/2020
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Total Price
(State sales taxes may apply. Not included here in total purchase.) 		$

Pricing Information:
Only $240 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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