Course

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