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Course
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Books and Records Requirements for Investment Advisers
Wednesday February 5, 2025 10:00 am
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Course
  • CE:
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Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and...
Wednesday February 5, 2025 1:00 pm
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Course
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Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Wednesday February 5, 2025 3:15 pm
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Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of...
Thursday February 6, 2025 10:00 am
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Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Thursday February 6, 2025 1:00 pm
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Course
  • CE:
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Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy...
Thursday February 6, 2025 3:15 pm
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Course
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  • CLE
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Professional Ethics: Ethical Decision-Making for Compliance Professionals
Friday February 7, 2025 10:00 am
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Course
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Compliance Programs Rules and Strategies for Managing Your Annual Review
Friday February 7, 2025 1:00 pm
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Course
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Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act...
Tuesday March 4, 2025 1:00 pm
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Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft, and...
Thursday March 6, 2025 1:00 pm
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Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Tuesday March 11, 2025 1:00 pm
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Reg Best Interest, DOL Fiduciary Rule, and the Impact of SEC Risk Alerts
Thursday March 13, 2025 1:00 pm
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Two Trading Compliance Challenges: Valuation and Trade Errors
Thursday March 20, 2025 1:00 pm
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Course
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Introduction to the Advisers Act: Framework, Registration, Exclusions and More
Tuesday March 25, 2025 1:00 pm
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Course
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Form ADV Part 1: Annual Updating Amendment and More
Tuesday April 8, 2025 1:00 pm
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