Customize your Agenda to Suit Your Educational Needs

There’s Something for Everyone!

  • Broker-Dealers
  • Investment Advisers
  • Investment Companies
  • Municipal Advisors
  • Private Funds

Choose from 65 value-packed compliance sessions on topics such as:

  • The DOL Rule
  • Financial Forensics
  • Ethical Best Practices
  • Data Privacy and Trends
  • Performance Advertising Rules
    Protecting Our Most Vulnerable Client
  • Managing CCO Liability in Uncertain Times
  • How to Detect and Prevent Manipulative Trading
  • Advisers Act Compliance for Private Fund Managers
  • Preparation for Disasters and Other Unexpected Events
  • The Impact of FinTech & RegTech on Compliance Programs
  • When Reporting Compliance Issues up the Chain Doesn’t Work
  • And much, much more…