IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.

IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL
Conquering Current Compliance Challenges
Mar. 7, 2018 | 2:00 - 2:30 PM EST

FinTech: What It Is and How Its Promise Will Affect You Going Forward
Mar. 27, 2018 | 2:00 - 3:00 PM EST
CLE/CPE Approved 
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Feb. 7, 2018 
 
Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
Advertising/Marketing
Annual Review
Sample Risk Matrix
3/12/2017
Best Execution
Compliance Manual
1/16/2018
Best Ex Policy
12/08/2017
Books and Records
Compliance Manual
1/16/2018
Code of Ethics
COE Snapshot
1/21/2018
Compliance Manual
1/16/2018
Trading
Compliance Manual
1/16/2018
Best Ex Policy
12/08/2017
Valuation
Compliance Manual
1/16/2018
Valuation P&P
11/20/2013
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