Please look for JLG team members at the following up-coming conferences!
2012 Conferences
April 25, 2012 - ACA Spring 2012 Compliance Conference (Fort Lauderdale, FL) - Introduction to Investment Adviser Compliance & CCO Liability
March 12-13, 2012 - NSCP Regional Meeting (San Francisco, CA) - IA Regulatory Exams & IA/PF Ethics, Compliance and Risk in Today's World
March 5 - 6, 2012 - Ascendant Compliance Conference (San Antonio, TX) - Recent Enforcement Actions Against Advisers and CCO's & Real Processes for Vendor Selection and Management
February 27, 2012 - TD Ameritrade Institutional Webinar - 2012 Compliance Hot Topics
January 18, 2012 - NSCP Webinar - Advertising for IAs (including GIPs)
2011 Conferences
October 17-19, 2011 - NSCP National Fall Conference (Baltimore, MD) - New Regulatory Examinations (Small Firms) & Advertising for Investment Advisers (include GIPS)
September 19, 2011 - IA Compliance Fall Conference (Philadelphia, PA) - Social Media & Advertising
September 14-16, 2011 - Ascendant Compliance Conference (San Diego, CA) - Expanding Your Knowledge of Social Media Networks
September 13, 2011 - ACA Compliance Conference (Scottsdale, AZ) - CCO Liability
June 13, 2011 - NSCP Regional Meeting (Toronto, Canada) - Practical Guidance to Testing and Oversight
March 31, 2011 - Ascendant Compliance Conference (Naples, FL) - Marketing Advisory Services and Protection of Client Records and Information
March 17, 2011 - Charles Schwab (Beverly Hills, CA and Pasadena, CA) - The Compliance Update: The Effect of Regulatory Changes for Investment Advisor
March 10, 2011 - IAA Investment Adviser Compliance Conference (Arlington, VA) - Annual Review
March 4, 2011 - ACA's 2011 Spring Compliance Conference (Orlando, FL) - Code of Ethics
February 28, 2011 - NSCP West Coast Regional Meeting (Los Angeles, CA) - IA Examinations Process (Internal and External) and Lab Session: Writing an ADV
February 10, 2011 - SD NAPFA (La Jolla, CA) - The Dodd-Frank Act: What You Need to Know and How to Prepare
February 2-4, 2011 - TD Ameritrade Institutional's 2011 National Conference (San Diego, CA) - How to Survive an Audit and Maximizing Your Online Presence
2010 Conferences
November 1-2, 2010 - NSCP National Meeting (Baltimore, MD) - Due Diligence on Sub-advisers, Vendors, and New Products and Addressing New Issues in Regulatory Examinations (Small Firms)
October 27, 2010 - FRA Hedge Fund Registration Master Class (New York, NY) - The Actual Process of Registration: A Practical Guide and Policies and Procedures Part II - Key Components and the Necessity for a Dynamic Approach
October 14, 2010 - San Diego County Bar Association (San Diego, CA) - Dodd-Frank Act: The Annual Securities Law Update
October 12, 2010 - Charles Schwab (San Diego, CA) - The Dodd-Frank Act: What you Need to Know and How to Prepare
October 6, 2010 - Charles Schwab (Newport Beach and Los Angeles, CA) - The Dodd-Frank Act: What you Need to Know and How to Prepare
September 27, 2010 - CFA Institute (Tulsa and Oklahoma City, OK) - The Dodd-Frank Act: What you Need to Know and How to Prepare
September 22, 2010 - ACA Compliance Group (San Diego, CA) - Surviving and Thriving as a CCO
September 16-17, 2010 - FRA Marketing & Advertising Compliance Forum (New York, NY) - Use of Social Media and Electronic Communications in Marketing & Advertising: Leveraging the Internet to Grow Your Business and Responding to RFPs: Best Practices and Guidelines to Ensure Compliance Procedures
September 1, 2010 - Financial Planning Association Webinar - Being Compliant with your Social Media Strategy
June 16, 2010 - Charles Schwab Conference (Chicago, IL) - The New Era of Risk Management: How to Protect Yourself and Your Firm
April 27, 2010 - NICSA Conference (Los Angeles, CA) - The Ever-Changing Compliance and Regulatory World
March 25-26, 2010 - IA Week Best Practices Summit (Washington, D.C.) - Understanding the Potential and Limits of Advertising & Marketing
March 10, 2010 - Charles Schwab Conference (Beverly Hills, CA) - The Amended Custody Rule & Other Regulatory Impacts on Advisors
March 10, 2010 - Ascendant Conference (Santa Monica, CA) - The Study of RFPs and Due Diligence Questionnaires & Processes and The Destruction of Records: Risks and Rewards
February 25-26, 2010 - IAA & ACA Compliance Forum (Arlington, VA) - Risk Management Workshop for Small Firms
February 23, 2010 - Charles Schwab Conference (San Francisco, CA) - The New Era of Risk Management: How to Protect Yourself and Your Firm
February 22, 2010 - NSCP Regional Meeting (San Francisco, CA) - Dialogue with Area Regulators
February 1, 2010 - FRA Investment Advisor Compliance Conference (New York, NY) - Advertising & Marketing Compliance and Examining Pay-to-Play Regulatory & Enforcement Issues
2009 Conferences
November 3-6, 2009 - NRS Twenty-fourth Annual Investment Adviser and Broker-Dealer Compliance Conference (Las Vegas, NV) - Adviser Issues in the Institutional and Retirement Marketplace
October 4-7, 2009 - National Society of Compliance Professionals (NSCP) National Meeting (Philadelphia, PA) - Compliance Programs (Large Firms) and IA Regulatory Panel (moderator)
September 21, 2009 - IA Compliance Fall Conference (Philadelphia, PA) - Staying on the Right Side of the Compliance Line with Performance Advertising and Marketing and Solutions for Your Trickiest Compliance Problems
September 15, 2009 - Professional Association for Investment Communication Resources (PAICR) (New York, NY) - Taking Action in Uncertain Times- Compliance Panel
March 18-20, 2009 - Ascendant Compliance Conference (New Orleans, LA) What to Know about Your Employees and Vendors; Marketing Workshop
March 16, 2009 - National Society of Compliance Professionals (NSCP) West Coast Regional Meeting (Los Angeles, CA) - Dialogue with Area Regulators
2008 Conferences
October 20-22, 2008 - National Society of Compliance Professionals (NSCP) 2008 National Membership Meeting (Philadelphia, PA) - Investment Adviser Compliance Overview (for Small Firms); Privacy Considerations: Regulation S-P Amendments
October 14, 2008 - IA Week Webinar - Performance Advertising: Tips to Avoid Compliance Lapses & Web Site Do's and Don'ts
September 23, 2008 - IA Week - IA Compliance Fall Conference 2008 (Philadelphia, PA) - New Form ADV: Part 2 Most Difficult Disclosure Issues Revealed
September 17-19, 2008 - Ascendant Compliance Conference - The Integration of Operations and Business Management (San Diego, CA) - Conducting an Effective Annual Review; The New Enhanced Regulation S-P
August 12, 2008 - IA Week Webinar - How to Survive & Thrive During your Next SEC Exam
May 16-17, 2008 - Financial Research Associates (FRA) - The Fourth Annual Fund of Funds Business Operations Forum (New York, NY) - Managing and Surviving an SEC Review; Understanding Marketing and Advertising Compliance - an Overview
May 12-15, 2008 - National Regulatory Services (NRS) - 23rd Annual Spring Compliance Conference (Miami, FL) - Form ADV, Dramatic Change Ahead: The Evolution of New Part 2 and Public Disclosure; Wrap Fee Accounts: Understanding their Unique Compliance Challenges
April 9-11, 2008 - IMS National Conference - The Next Step in Compliance: The Integration of Operations & Business Management (New Orleans, LA) - Planning and Documenting the Annual Review; Insights into New Regulatory Developments: ADV Part 2 and Other Disclosure Developments
March 27-28, 2008 - Financial Research Associates (FRA) - Marketing & Advertising Compliance Forum (New York, NY) - Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-Line Business
January 14, 2008 - National Society of Compliance Professionals (NSCP) West Coast Regional Membership Meeting (San Francisco, CA) - Safeguarding and Protecting Confidential Client Information
Suite 208