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Webinar Registration Form

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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, April 7, 2020
4/7/2020
Data Protection: Privacy, Identity Theft and Cybersecurity
Data Protection: Privacy, Identity Theft and Cyber...
Thursday, April 9, 2020
4/9/2020
Third Party Due Diligence Practices
Third Party Due Diligence Practices
Tuesday, April 21, 2020
4/21/2020
Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP CE Ethics credit)
Professional Ethics: Ethical Decision-Making for C...
Wednesday, April 22, 2020
4/22/2020
Critical Skills for High-Performance Compliance Professionals
Critical Skills for High-Performance Compliance Pr...
Thursday, April 23, 2020
4/23/2020
State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators
State Registered Investment Advisers: A Compliance...
Tuesday, May 5, 2020
5/5/2020
Form CRS: Preparation, Distribution, Procedures and More
Form CRS: Preparation, Distribution, Procedures an...
Thursday, May 7, 2020
5/7/2020
Private Fund Compliance Considerations
Private Fund Compliance Considerations
Tuesday, May 12, 2020
5/12/2020
Compliance Considerations: Elder Investors and Financial Exploitation
Compliance Considerations: Elder Investors and Fin...
Thursday, May 14, 2020
5/14/2020
Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More
Are You Prepared: Business Continuity, Disaster Re...
Tuesday, June 23, 2020
6/23/2020
SEC Examination and Enforcement Update for Investment Advisers
SEC Examination and Enforcement Update for Investm...
Thursday, June 25, 2020
6/25/2020
TBD
TBD
Thursday, July 23, 2020
7/23/2020
IACCP Exam Study Session
IACCP Exam Study Session
Tuesday, July 28, 2020
7/28/2020
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 18, 2020
8/18/2020
Data Protection: Privacy, Identity Theft and Cybersecurity
Data Protection: Privacy, Identity Theft and Cyber...
Thursday, August 20, 2020
8/20/2020
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, September 10, 2020
9/10/2020
Form ADV Part 1: Annual Updating Amendment and More
Form ADV Part 1: Annual Updating Amendment and Mor...
Tuesday, September 15, 2020
9/15/2020
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Form ADV Part 2 and 3: Identifying and Disclosing ...
Thursday, September 17, 2020
9/17/2020
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
TBD
TBD
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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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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