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Registration Form for Webinars and In-person Sessions

Please enter the number of attendees for each item:

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Tuesday, June 4, 2024
6/4/2024
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Thursday, June 6, 2024
6/6/2024
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (This course counts toward the IACCP® General CE requirement.)
Investment Adviser Codes of Ethics: The Rule Plus ...
Tuesday, June 11, 2024
6/11/2024
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Tuesday, June 18, 2024
6/18/2024
Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution
Cybersecurity Breaches: Information Security Plann...
Thursday, June 27, 2024
6/27/2024
Introduction to the Advisers Act: Framework, Registration, Exclusions, and More
Introduction to the Advisers Act: Framework, Regis...
Tuesday, August 6, 2024
8/6/2024
Books and Records Requirements for Investment Advisers
Books and Records Requirements for Investment Advi...
Tuesday, August 6, 2024
8/6/2024
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Two Persistent Compliance Challenges: Insider Trad...
Wednesday, August 7, 2024
8/7/2024
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
Understanding Fiduciary Duties and a Sweep of Cert...
Wednesday, August 7, 2024
8/7/2024
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Wednesday, August 7, 2024
8/7/2024
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Thursday, August 8, 2024
8/8/2024
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Form ADV Part 2 and 3: Identifying and Disclosing ...
Thursday, August 8, 2024
8/8/2024
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (This course qualifies for the IACCP® General CE requirement)
Investment Adviser Codes of Ethics: The Rule Plus ...
Thursday, August 8, 2024
8/8/2024
Professional Ethics: Ethical Decision-Making for Compliance Professionals (This course qualifies for the IACCP® Ethics CE requirement.)
Professional Ethics: Ethical Decision-Making for C...
Friday, August 9, 2024
8/9/2024
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Friday, August 9, 2024
8/9/2024
IACCP Exam Study Session (optional)
IACCP Exam Study Session (optional)
Tuesday, August 20, 2024
8/20/2024
Mandates Beyond the Advisers Act: AML, ERISA, & 34 Act Reporting
Mandates Beyond the Advisers Act: AML, ERISA, & 3...
Thursday, September 5, 2024
9/5/2024
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
Mandates Beyond the Advisers Act: Data Protection:...
Tuesday, September 10, 2024
9/10/2024
Understanding Data Privacy and AI for Compliance
Understanding Data Privacy and AI for Compliance
Thursday, September 12, 2024
9/12/2024
Trading Practices, Portfolio Compliance and Relate...
Tuesday, September 17, 2024
9/17/2024
Investment Adviser Marketing Rule
Investment Adviser Marketing Rule
Thursday, September 19, 2024
9/19/2024
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Trading Compliance: Best Execution, Soft Dollars a...
Tuesday, September 24, 2024
9/24/2024
Private Fund Reforms and Other Current Considerations
Private Fund Reforms and Other Current Considerati...
Thursday, September 26, 2024
9/26/2024
Professional Ethics: Ethical Decision-Making for Compliance Professionals (This course qualifies for the IACCP® Ethics CE requirement.)
Professional Ethics: Ethical Decision-Making for C...
Wednesday, October 23, 2024
10/23/2024
Critical Skills for High-Performance Compliance Professionals
Critical Skills for High-Performance Compliance Pr...
Thursday, October 24, 2024
10/24/2024
Introduction to the Advisers Act: Framework, Registration, Exclusions and More
Introduction to the Advisers Act: Framework, Regis...
Tuesday, November 5, 2024
11/5/2024
IACCP Exam Study Session (optional)
IACCP Exam Study Session (optional)
Thursday, November 7, 2024
11/7/2024
Books and Records Requirements for Investment Advisers
Books and Records Requirements for Investment Advi...
Tuesday, November 12, 2024
11/12/2024
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Two Persistent Compliance Challenges: Insider Trad...
Thursday, November 14, 2024
11/14/2024
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
Understanding Fiduciary Duties and a Sweep of Cert...
Tuesday, November 19, 2024
11/19/2024
Advisers Act Anti-Fraud Rules: Custody, Political Contributions and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Thursday, November 21, 2024
11/21/2024
RIA Year-End Compliance Check-up
RIA Year-End Compliance Check-up
Tuesday, November 26, 2024
11/26/2024
Two Trading Compliance Challenges: Valuation and Trade Errors
Two Trading Compliance Challenges: Valuation and T...
Tuesday, December 3, 2024
12/3/2024
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Thursday, December 5, 2024
12/5/2024
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Form ADV Part 2 and 3: Identifying and Disclosing ...
Tuesday, December 10, 2024
12/10/2024
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (This course counts toward the IACCP® General CE requirement.)
Investment Adviser Codes of Ethics: The Rule Plus ...
Thursday, December 12, 2024
12/12/2024
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Tuesday, December 17, 2024
12/17/2024
Compliance Professional Summit
Compliance Professional Summit
Thursday, December 19, 2024
12/19/2024

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Total Price
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Pricing Information:
Only $290 per attendee for each seminar
Custom training specific seminars can be arranged, call for pricing

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