 |
|
 |
 |
 |
 |
|
|
| Web Seminars: for Current Customers. |
| |
Customer Training |
| |
 |
  |
|
For Broker-Dealers, Investment Advisers & Hedge Funds |
| |
|
|
Resources™ & Resources Plus™ Technology Training
March 10, 2010, 10am Pacific Time, FREE | Register
March 17, 2010, 10am Pacific Time, FREE | Register
March 24, 2010, 10am Pacific Time, FREE | Register
March 31, 2010, 10am Pacific Time, FREE | Register |
|
|
| |
|
| |
Monthly Compliance Seminars |
| |
|
| |
|
For Investment Advisers & Hedge Funds |
| |
|
|
The Fiduciary Standard: We will define fiduciary responsibilities and standards; provide some background information, discuss how these fiduciary standards have been and can be applied and ways to monitor compliance with fiduciary standards and test the results. Need Continuing Education credits? Please attend this seminar and receive 1 CE credit for CFP, CLE in the state of California, CPE and IACCP.
March 16, 2010, 1pm Pacific Time, FREE | Register
Regulatory Exam Preparations: We will discuss scheduling the audit, the pre-examination request list, pre-examination document delivery, books and records preparation, the purpose of the examination and the post examination close out. Need Continuing Education credits? Please attend this seminar and receive 1 CE credit for CFP, CLE in the state of California, CPE and IACCP.
April 20, 2010, 1pm Pacific Time, FREE | Register
Drafting, Reviewing and Revising the ADV Part 2: We will discuss what information has to be disclosed in the ADV Part 2, when the ADV Part 2 should be amended and the most efficient process to amend the ADV Part 2. Need Continuing Education credits? Please attend this seminar and receive 1 CE credit for CFP, CLE in the state of California, CPE and IACCP.
May 18, 2010, 1pm Pacific Time, FREE | Register
Practical Approach to Investment Adviser Code of Ethics: Advisers are obligated to act in the best interest of their clients and to create and adhere to a Code of Ethics. This seminar will discuss general ethical principles, personal securities trading, reporting ethics violations and the creation of supervisory procedures from a practical standpoint. Need Continuing Education credits? Please attend this seminar and receive 1 CE credit for CFP, CLE in the state of California, CPE and IACCP.
June 15, 2010, 1pm Pacific Time, FREE | Register |
|
| |
|
|
|
|
For Broker-Dealers |
| |
|
|
FINRA Exam Priorities: Preparation for a FINRA examination by focusing on FINRA priority issues.
March 11, 2010, 1:30pm Pacific Time, FREE | Register
Books & Records in the Electronic Era: Keeping books and records during changing times using changing formats.
April 08, 2010, 1:30pm Pacific Time, FREE | Register
What constitutes a GAP analysis and the 3130 certification: The internal review process from top to bottom; complying with Rule 3012
May 13, 2010, 1:30pm Pacific Time, FREE | Register
Firm & Regulatory Element CE: Hot topics/new issues in preparing your Firm Element Needs Analysis and training program.
June 10, 2010, 1:30pm Pacific Time, FREE | Register |
|
|
|
|
 |