• Annual Review
• Best Execution
• Books and Records
• Code of Ethics
• Custody

• Form ADV
• Hedge Funds
• Insider Trading
• SEC Examinations
• Soft Dollars

Live Conferences

• 10th Annual IA Compliance Fall Conference 2010
  Live Conference
  September 20, 2010 | Loews Philadelphia Hotel

Webinars

• Form ADV, Part 2: Solid Advice to Satisfy the New Plain-English Requirements and Meet Your Filing Deadline
  Live Webinar
  Tuesday, October 19, 2010 | 2:00 – 3:30 p.m. ET

• AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs
  Live Webinar
  Tuesday, September 14, 2010 | 2:00 – 3:30 p.m. ET

• E-mail Retention and Data Security Tips to Meet Today's Tough Compliance
  Live Webinar
  Tuesday, September 7, 2010 | 2:00 – 3:30 p.m. ET

Live Conference Sessions Available on DVD

• IA Compliance Best Practices Summit 2010
  March 25–26, 2010
  Sessions Now Available on DVD!

On Demand Sessions Available

• IA Compliance Best Practices Summit 2009
  March 12-13, 2009
  Sessions Now Available!
  

Webinars/Audio Conferences on CD

• A CCO’s Guide to Compliance Policies and Procedures: Solid Drafting Tips, Key Samples, Mistakes to Avoid and More
  Recorded Tuesday, August 17
Now Available on CD!

• Derivatives Regulation: How Coming Reforms Promise to Transform How You Do Business
  Recorded Tuesday, July 13, 2010
  Now Available on CD!

• Valuation & Best Execution: Guidance to Fine-Tune Your Compliance Processes
  Recorded Tuesday, June 1, 2010
  Now Available on CD!

• An Up-Close Look at FINRA’s Guidance on Social Media: Practical Tips to Comply
  Recorded Tuesday, June 1, 2010
  Now Available on CD!

• CCO Liability: Know Your Risks & How You Can Reduce Them
  Recorded Tuesday, May 11, 2010
Now Available on CD!

• Answers and Advice to Satisfy the SEC’s New Custody Rules
  Recorded Tuesday, April 20, 2010
  Now Available on CD!

• Protecting Confidential Client Communications: Getting Ahead of the Massachusetts Data Protection Rule
  Recorded February 23, 2010
  Now Available on CD!

• Produce Your Best Annual Review Yet: Pointers to Map Out Your Year in Compliance
  Recorded February 16, 2010
  Now Available on CD!

• Guidance to Comply with the SEC’s Final Custody Rule
  Recorded January 12, 2010
  Now Available on CD!

• Compliance Best Practices to Combat Insider Trading
  Recorded December 15, 2009
  Now Available on CD!

• Your 90-Minute Guide to Realistic Forensic Testing: How to Pull It Off Amid Other Compliance Duties
  Recorded November 17, 2009
  Now Available on CD!

• Compliance Do’s & Don’ts for Performance Advertising
  Recorded October 13, 2009
  Now Available on CD!
  
  Odds hold that more than one in four exams of investment advisory firms will end with a deficiency tied to performance advertising and marketing. Read More...
  

• SEC Exam Survival Skills for RIAs in the Post-Madoff Era
  Recorded September 15, 2009
  Now Available on CD!
  
  A lot has changed in the last year, including the SEC’s focus during exams of investment advisers. Read More...
  

• Ideas to Overcome Today’s Top Challenge for Compliance Programs: How to Do More with Less
  Recorded August 11, 2009
  Now Available on CD!
  
  The SEC has made clear it doesn’t want to see firms’ compliance efforts suffer in these tough times. Yet many CCOs are feeling the crunch from being forced to do more with less and to wear more hats than ever. Read More...

• Understanding How the SEC’s Proposed Custody Rule Changes Will Affect Your Firm
  Recorded June 16, 2009
  Now Available on CD!
  
  Getting a solid handle on the price of securities has been among the roughest parts of the last year for firms. Read More...
  

• Answers for Valuation & Best Execution’s Most Vexing Compliance Challenges
  Recorded June 9, 2009
  Now Available on CD!
  
  Getting a solid handle on the price of securities has been among the roughest parts of the last year for firms.Read More...
  

• Conflicts of Interest: What You Can Do to Spot, Respond to and Reduce Conflicts
  Recorded May 5, 2009
  Now Available on CD!
  
  A large part of any compliance officer’s job is to enforce the firm’s code of ethics, and a big piece of that revolves around dealing with conflicts of interest. Read More...

• Due Diligence Steps to Protect Your Firm’s Reputation and Manage Legal Risks
  Recorded April 21, 2009
  Now Available on CD!
  
  If there’s one thing the Bernard Madoff case makes clear is the need to know who you’re doing business with. Read More...

• Proven Compliance Strategies to Tackle Trade Errors
  Recorded March 10, 2009
  Now Available on CD!
  
  Trade errors happen. It’s how you handle them that matters. Read More...
  
  
• New Ideas to Jumpstart Your Program with Effective and Workable Forensic Testing
  Recorded February 17, 2009
  Now Available on CD!
  
  Regulators expect you to use forensic testing to spot and fix holes in your firm’s compliance program. Read More...
  
  
• An Adviser's Guide to 2009: Big Changes Coming & What You Can Do to Be Ready
  Recorded January 21, 2009
  Now Available on CD!
  
  2009 promises to be a year like no other you’ve seen. A new administration. Looming questions about the economy. Read More...
  
  

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)