Investment Adviser Sessions
ComplianceCasts begin at 2:00 p.m. EST, and are 90 minutes long, providing in-depth coverage in a manageable time.
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Roundtable
Sessions |
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December 12, 2012 |
Ethics Why Investment Professionals Lie, Cheat and Steal Dissecting the Root Causes of Recent Enforcement Cases, including Insider Trading and Ponzi Schemes; Identify and Detect Ethical Issues Presented in Case Studies; Obtain the Knowledge to Help You Build an Ethical Foundation Within Your Organization |
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January 16, 2013 |
The
Marriage of Compliance & Technology Leveraging Technology to Manage Compliance Concerns Surrounding Cloud-Based Technologies; Beyond Email Archiving; Embracing Your Client Relationship Management ("CRM") Systems; Differentiating Between DRP and BCP |
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February 20, 2013 |
Tips
for Form ADV Information Management Utilizing Employee Questionnaires; ADV Delivery Requirements; Material Changes; Guidance on Manuevering Through the IARD System From Our experienced Experts |
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March 20, 2013 |
Compliance
from A to Z You Name It, We'll Cover It! Fundamental Discussion of an Effective Compliance Program; From the Compliance Program Rule to Supervisory Liability; Handling Complaints |
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April 17, 2013 |
Concerns
Surrounding Growing Your IA Business Know the Rules! Compliance Aspects of Fundraising; Managing Sovereign Wealth Funds; FCPA; Lobbyist Requirements |
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May 15, 2013 |
The
Complex World of ERISA DOL's Web of Regulations Surrounding IAs Compensation Arrangements; 408(b)(2) Disclosure; Prohibited Transactions; Considerations for AUM Calculations |
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June 17, 2013 |
Effective
Compliance Testing How To and What To Test Targeted email Reviews; Trade Blotter Analysis; Forensic Testing Recommendations; Testing restrictions and Investment Policy Mandates |
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July 17, 2013 |
Covering
All The Bases of Enterprise Risk Management Key Areas Identified in SEC Speeches First Base: Business Lines & Marketing/ Sales; Second Base: Compliance & Identification of Risks; Third Base: Auditors & Examiners; Home Plate: Successful Business |
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August 21, 2013 |
From
Books & Records to SEC Examinations Getting From Here to There Identifying Records; Electronic Record Keeping; Recent SEC Document Request Lists; Preparation Skills |
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September 18, 2013 |
Compliance
Considerations for Trading Practices Beyond the Execution Best Execution Practices; Defining a Trade Error; Soft Dollars; Describing Brokerage Practices in Disclosure Documents |
Broker Dealer and Dual Registrant Sessions >
* Topics and dates are subject to change at Ascendant's discretion.
