Course

Course
  • CE:
  • CLE
  • CPE
  • IACCP
Form ADV Part 1: Annual Updating Amendment and More
Tuesday April 8, 2025 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Books and Records Requirements for Investment Advisers
Tuesday April 15, 2025 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and...
Thursday April 17, 2025 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Tuesday April 22, 2025 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
In-person: Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and...
Tuesday May 13, 2025 12:45 pm
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Symposium
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
In-Person Investment Adviser Certified Compliance Professional (IACCP) Program...
Tuesday May 13, 2025 12:45 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
In-person: Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity...
Tuesday May 13, 2025 3:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
In-person: Trading Practices, Portfolio Compliance and Related Enforcement Cases
Wednesday May 14, 2025 8:15 am
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
In-person: Trading Compliance: Best Execution, Soft Dollars and Directed...
Wednesday May 14, 2025 10:30 am
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
In-person: Two Trading Compliance Challenges: Valuation and Trade Errors
Thursday May 15, 2025 8:15 am
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
In-person: Investment Adviser Marketing Rule
Thursday May 15, 2025 10:30 am
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
In-person: Critical Skills for High-Performance Compliance Professionals
Friday May 16, 2025 8:15 am
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
In-person: Professional Ethics: Ethical Decision-Making for Compliance...
Friday May 16, 2025 10:30 am
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of...
Thursday June 5, 2025 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy...
Tuesday June 10, 2025 3:15 pm
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