October 23, 2017
- 12b-1 Fees
- Advisory Contracts
- AIMR/CFA Institute
- Anti-Money Laundering
- Best Execution
- Books and Records
- Compliance Products and Services
- Compliance Programs and CCOs
- Directed Brokerage
- E-mails and Web/Internet Issues
- Fee-based Brokerage
- Form ADV
- Fund Advertising
- Fund Disclosure
- Fund Distribution
- Fund Enforcement
- Fund Governance
- Fund Expenses, Loads, and Fees
- Hedge Funds
- Insider Trading
- International Matters
- Litigation/Court Cases
- Personal Trading
- SEC Operations and Agenda
- Social Media
- Soft Dollars
- State Enforcement Proceedings
- State Regulatory Initiatives
- Status and Exemptions - Advisers
- Status and Exemptions - Funds
- Trade Aggregation/Allocation
- Trading Desk Issues
- Wrap Fee Programs
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.
Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.
Many investment advisers rank cybersecurity as their number one concern. Listen and view this webinar to find out just what reasonable precautions to put in place.