Current Curriculum and Schedule*
ComplianceCasts is the most convenient resource for IA, BD, and hedge fund online compliance training. Created with your time and budget in mind, ComplianceCasts offers a unique educational environment for compliance learning without the added cost of travel.
Our curriculum intuitively examines the relationships between key regulatory issues and real-world business operations. Each ComplianceCasts session further integrates Annual Review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of each compliance issue.
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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Broker Dealer and Dual Registrant Sessions
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A Fresh (Future?) Look at FINRA and SEC Inspections and Rules in a New Era
Impact on Dual Registrants and Affiliates; What to Expect That is Different in the Future; What Do Current Document Request Lists Look Like?; Current Findings and Concerns; “Holistic” Risk Management Approach to Compliance; “Internalizing” the “Insite”/”SMART” Models Into Your Compliance Program; New SEC Inspection Program Impact on Examinations, and for Dual Registrants, How This Impacts Your 3012 Compliance Program; The New 80/20 Home Office/Field Approach to Branch Audits; Impact on BDs with Affiliated Banks and Reg R Exemptive Transaction Push Out; Proposed Rules
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Impact of Fiduciary Responsibilities on the Way Dual Registrants and IAs Conduct Business
Adapting Your Distribution Channel to a New Fiduciary Standard: What to Think About Now; Steps You Should Take Now to Prepare Each Distribution Channel; Impact on Proprietary Product Distribution; Potential Impact on IAs and Their Affiliates; Best Execution Implications; Disclosure Considerations; 12b-1 initiative and impact
This ComplianceCast subject to change, following release of SEC Study
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3012 Testing: A Moving Target
Updated Your Review Matrix Yet?; 3012 Risk Matrix as a Management Reporting Out Tool; Impact of Recent Regulatory Changes; Holistic Risk Assessment; Conducting a Gap Analysis; Fresh Thinking Regarding Branch and OSJ Reviews
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Compliance Issues Surrounding Trading: Trade Errors, Best Ex, Surveillance and Reporting
What Are the Compliance Risks? Conducting Surveillance for Errors; Tips for Performing Best Execution Reviews; Documenting; Best Ex for Fixed Income Products; Developing a Solid Surveillance Program; Risk Assessment, Resources, Technology; Identifying Red Flags; Escalation Procedures; Trade and Other Regulatory Reporting
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Identifying Dual Registrant Concerns
The New Custody Rule and Its Implications; WSPs -- What’s Common Between the BD and IA; What Haven’t You Thought Of? Here’s a List
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New! Developing Due Diligence Reviews for IA and BD Product and Service Providers
Conducting Effective Due Diligence on Sub-advisors; Impact of Filings with CRD -- IA and BD; Documentation; Product Due Diligence and Complex Due Diligence Issues Regarding Private Offerings; Check Lists/Sample Templates That Work; Policies That Pass FINRA Inspections; What FINRA Expects in Your WSPs; Make Third Party Due Diligence Effective
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IA/BD/Hedge Fund Sessions
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Special Form ADV ComplianceCast: Getting Started
2:00 - 3:00 PM ONLY $99
Attendees will receive a FREE ADV Part 2 Brochure Template to establish a framework for meeting the narrative brochure requirements
Required Order and Structure of the New Brochure; Specific Information on Part 2B: The Brochure Supplement; Timing of New Brochure and Initial Delivery; Examples of Material Information; New and Ongoing Delivery Requirements; Information to Complete Annual Updating Amendment with New Brochure and Supplement
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Ascendant Compliance Roundtable Network
Share Ideas with Your Peers for Effective Annual Reviews
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Performing a More Effective Risk Assessment Process and Preparing for Due Diligence Reviews
Identifying Conflicts of Interest; Mapping Risks to Policies; Being Prepared for Surprises
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Clarifying the Confusion Around Custody
Custody Rule Changes; Custody FAQs; Safeguards; Procedural Updates; SEC Focus
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Special Two-Hour Ethics Roundtable
Ethics After the Economic Crisis: A Moral Recovery
Federal Sentencing Guidelines; Ethics vs. Compliance; Rules of Professional Conduct; Decision-based Learning Scenarios, Including Case Studies
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Fifth Anniversary of the Annual Review Requirement
Lessons Learned; How It Has Evolved; New Focuses; Pay to Play Review; Section 13 Filings
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The Changing Landscape of Form ADV
Registration; Creating and Maintaining Proper Disclosure; New Custody ADV Filing Requirements
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Ascendant Compliance Roundtable Network
The Pitfalls of Improper Disclosure
Marketing and Advertising Deficiencies; Performance Reporting; Websites; Brochures
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Tracking Trading: Oversight of the Trading Process
Advanced Trade Blotter Review; Trade Sequencing; Allocations; Trade Errors; Soft Dollars
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Identifying, Evaluating and Disclosing Indirect Compensation
Indirect Compensation Received From Third Parties; Pay to Play; DOL/ERISA
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Ascendant Compliance Roundtable Network
SEC Examination Focus
Recent Examination Priorities; Focus of Most Recent Exam Letter; Deficiencies Around Custody
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Identification of Conflicts of Interest
Solicitation Agreements; Side-bySide Trading; Performance Fees; Enhancing Disclosures
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Who's Paying Who
Regulation D; Finders' Fees; Placement Agents; Self Offerings
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Ascendant Compliance Roundtable Network
Back from Summer Vacation: Now What?
ComplianceCasts Third Annual Regulatory Roundup; Current Events; Priorities
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* Topics and dates are subject to change at Ascendant's discretion.
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