EVENTS & PRODUCTS
Conference Listings
Webinars/Audio Conferences
Product Listings
Live Conferences on DVD
- IA Compliance Best Practices Summit 2008
All 15 general sessions of the sold out conference are now available on DVD!
Recorded on March 20-21, 2008
The sheer number of investment advisers is increasing at a dramatic pace and total assets under management have hit an all time high.
But of the greatest importance to you are the regulatory changes on the horizon that are sure to impact your firm’s compliance program.
Whether it’s books and records reform, soft dollars disclosure, new Form ADV Part 2, anti-money laundering, compliance program testing or the next round of the annual review, change is coming.
It’s more important than ever that you get the solutions you need throughout the year. That’s why we have put all 15 sessions from the SOLD OUT 10th Annual IA Compliance Best Practices Summit on DVD.
Share this valuable information with colleagues. Have available important guidance when you need it. Catch some sessions you may have missed. Read more...
Webinars/Audio Conferences on CD
- Performance Advertising: Tips to Avoid Compliance Lapses and Website Do's and Dont's
Recorded October 14, 2008
Now Available on CD!
Competitive firms know the power of persuasive marketing, but must always be mindful of compliance pitfalls. The SEC makes compliance with its advertising and marketing rules one of its top enforcement priorities. Misleading language, poorly confirmed statistics and unsupported boasts are all too common, and readily caught by regulators. Read More...
- What Reg S-P Means for Advisers
Recorded October 7, 2008
Now Available on CD!
Information travels in nanoseconds these days, meaning sensitive data can find their way into the wrong hands with one slip of the mouse. Congress and the SEC place stringent requirements on advisory firms to protect highly confidential client data, even as the Commission nears an expansion of your compliance requirements under its proposed Reg S-P rule. Read More...
- How to Survive & Thrive During Your Next SEC Exam
Recorded August 12, 2008
Now Available on CD!
Would your firm be ready should the SEC announce examiners are coming next week? Take a step to being ever-ready by signing up for our August webinar – and hear from key leaders who bring current expertise that combine to give you a solid approach to improve your firm’s compliance and exam readiness. Read More...
- How to Conduct Efficient & Compliant Annual Reviews
Recorded July 15, 2008
Now Available on CD!
The annual review can be seen as the backbone of your compliance program. It’s required by the SEC and reveals much to examiners about your commitment to compliance Gain a better understanding of how to improve your annual review at this live webinar – plus get a chance to find answers to your toughest questions. Read More...
- Merrill Rule Repeal: What now for investment advisers and broker-dealers
Recorded on Tuesday, June 19, 2007
Now Available on CD!
The so-called “Merrill Rule” exempted brokerage firms that charge asset-based fees from investment advisory regulations under specified conditions. In deciding not to appeal the decision, the SEC noted that it would consider other steps to respond to the decision and the issues raised on both sides of the debate over the rule. This 90-minute CD-Rom will help you adjust for the future in the context of such a dynamic environment.
Read more...
(A1290)
- Pension Plan Advisers: Keeping Up With the Ever-Changing Landscape
Recorded on Tuesday, April 7, 2007
Now Available on CD!
Investment advisers are increasingly looking to secure the business of institutional clients, and that means handling pension plans. But managing pensions’ assets has never been more complicated. The Pension Protection Act signed into law late last year is now being implemented by the Department of Labor, and it drastically changes how firms can serve pensions.
Read more...
(A1220)
- Soft Dollars Compliance: Meeting the Deadline and Preparing for Disclosure
Recorded on Tuesday, December 12, 2006
Now Available on CD!
The January 24th deadline for meeting the SEC’s final soft dollars interpretive guidance is right around the corner. To stay on the right side of the safe harbor you may need to create new compliance policies and procedures. Drafting and reviewing new soft dollar agreements, evaluating third-party research, and creating new commission-sharing arrangements all may come into play.
Read more...
(A1097)
- SEC Exam Preparation
Recorded on Tuesday, October 31, 2006
Now Available on CD!
Use this CD over and over again as a training tool to prepare others in the firm for the eventual SEC exam. Learn how to interact with SEC staff during an exam as well as respond to SEC inquiries.
Read more... (A1079)
- E-mail Retention & Monitoring
Recorded on Tuesday, June 27, 2006
Now Available on CD!
The straight story on how the SEC views e-mail retention and what safeguards you should have in place to ensure you can provide the necessary data during an exam.
Read more... (A981)
Handbooks and Special Reports
- CCO Compliance Handbook
Templates, checklists, and best practice tools gathered from firms across the country. The editors of IA Week have sourced key documents from leading CCOs and put them all together in one place. Get time-saving tools to help you with exam preparation, e-mail retention and monitoring, code of ethics and the annual review process.
Read more... (H1505)
- 2006 Annual CCO & Compliance Officer Salary Survey Report
Tailored specifically to CCOs and compliance officers at SEC-registered advisory firms, this eye opening 400-page report gathers compensation details from compliance professionals in 44 states. If you work in a five-person or 500-person shop, have $25 million in assets under management or $100 billion, or work in New York City, San Francisco or anywhere in between, we have you covered.
Read more... (H1421)