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Registration Form for Webinars and In-person Sessions

Please enter the number of attendees for each item:

Trading Practices, Portfolio Compliance and Relate...
Tuesday, October 3, 2023
10/3/2023
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Trading Compliance: Best Execution, Soft Dollars a...
Tuesday, October 10, 2023
10/10/2023
Private Fund Compliance Considerations
Private Fund Compliance Considerations
Thursday, October 12, 2023
10/12/2023
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Approved for IACCP Ethics CE credits)
Professional Ethics: Ethical Decision-Making for C...
Wednesday, November 8, 2023
11/8/2023
Critical Skills for High-Performance Compliance Professionals
Critical Skills for High-Performance Compliance Pr...
Thursday, November 9, 2023
11/9/2023
RIA Year-End Compliance Check-up
RIA Year-End Compliance Check-up
Tuesday, November 21, 2023
11/21/2023
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
Understanding Fiduciary Duties and a Sweep of Cert...
Thursday, November 30, 2023
11/30/2023
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Tuesday, December 5, 2023
12/5/2023
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Thursday, December 7, 2023
12/7/2023
Two Trading Compliance Challenges: Valuation and Trade Errors
Two Trading Compliance Challenges: Valuation and T...
Tuesday, December 12, 2023
12/12/2023
GIPS for Investment Advisers
GIPS for Investment Advisers
Thursday, December 14, 2023
12/14/2023
Compliance Professional Summit
Compliance Professional Summit
Tuesday, December 19, 2023
12/19/2023
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Total Price
(State sales taxes may apply. Not included here in total purchase.) 		$

Pricing Information:
Only $275 per attendee for each seminar
Custom training specific seminars can be arranged, call for pricing

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Adviser Only Broker-Dealer Only Dually Registered
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