Course
Course
- CE:
- CFP
- CLE
- CPE
- IACCP
Aug Symp – Compliance Programs Rules and Strategies for Managing Your...
Course
- CE:
- CFP
- CLE
- CPE
- IACCP
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Course
- CE:
- CLE
- CPE
- IACCP
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and...
Course
- CE:
- CFP
- CLE
- CPE
- IACCP
Sept – Trading Practices, Portfolio Compliance and Related Enforcement...
Course
- CE:
- CFP
- CLE
- CPE
- IACCP
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Course
- CE:
- CFP
- CLE
- CPE
- IACCP
