Our conferences will continue to have the best securities minds in the industry. Our interactive approach will follow all of the latest trends in
• SEC examinations
• Disclosure requirements
• Fundamentals of compliance program development
• Trading and soft dollar issues
• Books and records (including email retention)
• Marketing and advertising and
• Forensic testing among other topics.
This intermediate to advanced program will explore in depth each item on the agenda. The goal of this program is to equip compliance professionals with the necessary tools for developing and maintaining the highest standards of business practice management.
This conference is designed for:
Investment adviser compliance and legal professionals, senior management and operations personnel. A fundamental understanding and familiarity with the Investment Advisers Act of 1940 and The Securities and Exchange Act of 1934 is considered necessary to partake in the program.