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Registration Form for Webinars and In-person Sessions

Please enter the number of attendees for each item:

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Two Persistent Compliance Challenges: Insider Trad...
Tuesday, February 7, 2023
2/7/2023
Trading Practices, Portfolio Compliance and Relate...
Thursday, February 9, 2023
2/9/2023
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
Understanding Fiduciary Duties and a Sweep of Cert...
Tuesday, February 14, 2023
2/14/2023
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Trading Compliance: Best Execution, Soft Dollars a...
Thursday, February 16, 2023
2/16/2023
Investment Adviser Performance and Advertising
Investment Adviser Performance and Advertising
Thursday, February 23, 2023
2/23/2023
IACCP® Exam Study Session (Note: This is an optional course, and not an IACCP Elective.)
IACCP® Exam Study Session (Note: This is an option...
Thursday, March 2, 2023
3/2/2023
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Thursday, March 9, 2023
3/9/2023
Two Trading Compliance Challenges: Valuation and Trade Errors
Two Trading Compliance Challenges: Valuation and T...
Tuesday, March 14, 2023
3/14/2023
Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More
Are You Prepared: Business Continuity, Disaster Re...
Tuesday, March 21, 2023
3/21/2023
Introduction to the Advisers Act: Framework, Registration, Exclusions and More
Introduction to the Advisers Act: Framework, Regis...
Tuesday, April 11, 2023
4/11/2023
Books and Records Requirements for Investment Advisers
Books and Records Requirements for Investment Advi...
Tuesday, April 11, 2023
4/11/2023
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Two Persistent Compliance Challenges: Insider Trad...
Wednesday, April 12, 2023
4/12/2023
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
Understanding Fiduciary Duties and a Sweep of Cert...
Wednesday, April 12, 2023
4/12/2023
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements
Advisers Act Anti-Fraud Rules: Custody, Political ...
Wednesday, April 12, 2023
4/12/2023
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Thursday, April 13, 2023
4/13/2023
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Form ADV Part 2 and 3: Identifying and Disclosing ...
Thursday, April 13, 2023
4/13/2023
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (Approved for IACCP General CE credits.)
Investment Adviser Codes of Ethics: The Rule Plus ...
Thursday, April 13, 2023
4/13/2023
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Approved for IACCP Ethics CE credits)
Professional Ethics: Ethical Decision-Making for C...
Friday, April 14, 2023
4/14/2023
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Friday, April 14, 2023
4/14/2023
Mandates Beyond the Advisers Act: AML, ERISA, & 34 Act Reporting
Mandates Beyond the Advisers Act: AML, ERISA, & 34...
Tuesday, May 16, 2023
5/16/2023
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
Mandates Beyond the Advisers Act: Data Protection:...
Tuesday, May 16, 2023
5/16/2023
Trading Practices, Portfolio Compliance and Relate...
Wednesday, May 17, 2023
5/17/2023
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Trading Compliance: Best Execution, Soft Dollars a...
Wednesday, May 17, 2023
5/17/2023
IACCP Elective (TBD)
IACCP Elective (TBD)
Wednesday, May 17, 2023
5/17/2023
Two Trading Compliance Challenges: Valuation and Trade Errors
Two Trading Compliance Challenges: Valuation and T...
Thursday, May 18, 2023
5/18/2023
Investment Adviser Performance and Advertising
Investment Adviser Performance and Advertising
Thursday, May 18, 2023
5/18/2023
IACCP Elective (TBD)
IACCP Elective (TBD)
Thursday, May 18, 2023
5/18/2023
Critical Skills for High-Performance Compliance Professionals
Critical Skills for High-Performance Compliance Pr...
Friday, May 19, 2023
5/19/2023
IACCP Elective (TBD)
IACCP Elective (TBD)
Friday, May 19, 2023
5/19/2023
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Thursday, June 1, 2023
6/1/2023
IACCP Exam Study Session (Note: This is an optional course, and not an IACCP Elective.)
IACCP Exam Study Session (Note: This is an optiona...
Tuesday, June 6, 2023
6/6/2023
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Form ADV Part 2 and 3: Identifying and Disclosing ...
Thursday, June 8, 2023
6/8/2023
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (Approved for IACCP General CE credits)
Investment Adviser Codes of Ethics: The Rule Plus ...
Tuesday, June 13, 2023
6/13/2023
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Approved for IACCP Ethics CE credits.)
Professional Ethics: Ethical Decision-Making for C...
Tuesday, June 20, 2023
6/20/2023
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More - This is an in-person event in Chicago, IL.
Introduction to the Advisers Act: Framework, Regis...
Tuesday, July 11, 2023
7/11/2023
Books and Records Requirements for Investment Advisers - This is an in-person event in Chicago, IL.
Books and Records Requirements for Investment Advi...
Tuesday, July 11, 2023
7/11/2023
Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and 34 Act Section 13 Reporting for Investment Advisers - This is an in-person event in Chicago, IL.
Mandates Beyond the Advisers Act: Anti-Money Laund...
Tuesday, July 11, 2023
7/11/2023
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity - This is an in-person event in Chicago, IL.
Mandates Beyond the Advisers Act: Data Protection:...
Tuesday, July 11, 2023
7/11/2023
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act - This is an in-person event in Chicago, IL.
Understanding Fiduciary Duties and a Sweep of Cert...
Wednesday, July 12, 2023
7/12/2023
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements - This is an in-person event in Chicago, IL.
Advisers Act Anti-Fraud Rules: Custody, Political ...
Wednesday, July 12, 2023
7/12/2023
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts - This is an in-person event in Chicago, IL.
Two Persistent Compliance Challenges: Insider Trad...
Wednesday, July 12, 2023
7/12/2023
Trading Practices, Portfolio Compliance and Relate...
Wednesday, July 12, 2023
7/12/2023
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage - This is an in-person event in Chicago, IL.
Trading Compliance: Best Execution, Soft Dollars a...
Wednesday, July 12, 2023
7/12/2023
Two Trading Compliance Challenges: Trade Errors and Valuation - This is an in-person event in Chicago, IL.
Two Trading Compliance Challenges: Trade Errors an...
Wednesday, July 12, 2023
7/12/2023
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (Approved for IACCP General CE credits) - This is an in-person event in Chicago, IL.
Investment Adviser Codes of Ethics: The Rule Plus ...
Thursday, July 13, 2023
7/13/2023
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Approved for IACCP Ethics CE credits) - This is an in-person event in Chicago, IL.
Professional Ethics: Ethical Decision-Making for C...
Thursday, July 13, 2023
7/13/2023
Form ADV Part 1: Annual Updating Amendment and More - This is an in-person event in Chicago, IL.
Form ADV Part 1: Annual Updating Amendment and Mor...
Thursday, July 13, 2023
7/13/2023
Investment Adviser Performance and Advertising - This is an in-person event in Chicago, IL.
Investment Adviser Performance and Advertising - T...
Thursday, July 13, 2023
7/13/2023
IACCP Elective #1 - This is an in-person event in Chicago, IL.
IACCP Elective #1 - This is an in-person event in ...
Thursday, July 13, 2023
7/13/2023
IACCP Elective #2 - This is an in-person event in Chicago, IL.
IACCP Elective #2 - This is an in-person event in ...
Thursday, July 13, 2023
7/13/2023
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts - This is an in-person event in Chicago, IL.
Form ADV Part 2 and 3: Identifying and Disclosing ...
Friday, July 14, 2023
7/14/2023
Compliance Programs Rules and Strategies for Managing Your Annual Review - This is an in-person event in Chicago, IL.
Compliance Programs Rules and Strategies for Manag...
Friday, July 14, 2023
7/14/2023
Critical Skills for High-Performance Compliance Professionals - This is an in-person event in Chicago, IL.
Critical Skills for High-Performance Compliance Pr...
Friday, July 14, 2023
7/14/2023
IACCP Elective #3 - This is an in-person event in Chicago, IL.
IACCP Elective #3 - This is an in-person event in ...
Friday, July 14, 2023
7/14/2023
Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and 34 Act Section 13 Reporting for Investment Advisers
Mandates Beyond the Advisers Act: Anti-Money Laund...
Tuesday, August 1, 2023
8/1/2023
Compliance Programs Rules and Strategies for Managing Your Annual Review
Compliance Programs Rules and Strategies for Manag...
Thursday, August 3, 2023
8/3/2023
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
Mandates Beyond the Advisers Act: Data Protection:...
Tuesday, August 8, 2023
8/8/2023
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
Introduction to the Advisers Act: Framework, Regis...
Thursday, August 10, 2023
8/10/2023
Investment Adviser Performance and Advertising
Investment Adviser Performance and Advertising
Tuesday, August 15, 2023
8/15/2023
IACCP Exam Study Session (Note: This is an optional course, and not an IACCP Elective.)
IACCP Exam Study Session (Note: This is an optiona...
Thursday, September 7, 2023
9/7/2023
Books and Records Requirements for Investment Advisers
Books and Records Requirements for Investment Advi...
Tuesday, September 12, 2023
9/12/2023
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Two Persistent Compliance Challenges: Insider Trad...
Thursday, September 14, 2023
9/14/2023
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Tuesday, September 19, 2023
9/19/2023
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (Approved for IACCP General CE credits)
Investment Adviser Codes of Ethics: The Rule Plus ...
Thursday, September 21, 2023
9/21/2023
IACCP Elective
IACCP Elective
Tuesday, October 24, 2023
10/24/2023
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Approved for IACCP Ethics CE credits)
Professional Ethics: Ethical Decision-Making for C...
Wednesday, October 25, 2023
10/25/2023
Critical Skills for High-Performance Compliance Professionals
Critical Skills for High-Performance Compliance Pr...
Thursday, October 26, 2023
10/26/2023
Trading Practices, Portfolio Compliance and Relate...
Tuesday, November 14, 2023
11/14/2023
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Trading Compliance: Best Execution, Soft Dollars a...
Thursday, November 16, 2023
11/16/2023
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, Solicitors, 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
IACCP Elective
IACCP Elective
Thursday, December 14, 2023
12/14/2023
Compliance Professional Summit
Compliance Professional Summit
Tuesday, December 19, 2023
12/19/2023

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

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