Events

2017 Conferences

October 16-18, 2017 - NSCP Annual Conference (Washington, D.C.) - Presenter: Michelle Jacko

June 13-14, 2017 - Aging Investor Protection Summit (Boston, MA) - Presenter: Robert Boeche - Topic: Compliant and Proactive Legal Documentation and Contractural Guidance

April 24, 2017 - NSCP West Coast Regional Conference (Newport Beach, CA) - Presenter: Michelle Jacko - Topic: Vulnerable Investors: Recognizing Signs and Protecting All Parties

March 2-3, 2017 - IAA Investment Adviser Compliance Conference (Washington, D.C.) - Presenter: Michelle Jacko - Topic: Considerations for Advisers with Aging Clients

2016 Conferences

November 29, 2016 - IAA Fall Compliance Workshop (Los Angeles)

November 3, 2016 - Annual CCLS Compliance Symposium: New DOL Rule - Application of the BIC Exemption and What it Means for You; Effective Testing Ideas for Your Annual Review (Anaheim, CA)

October 16-19, 2016 - NSCP National Conference: Cybersecurity for Small Firms; Regulatory Examinations (Large Firms) (Washington, D.C.)

October 5-6, 2016 - FSN Conference: Life Stages of Your Business: Corporate Entity Formation, Business Expansion and Succession Planning (San Mateo, CA)

September 27-28, 2016 - Ascendant Compliance Conference: Let's Talk - Small Advisor Workshop; Private Funds - Private Equity/Real Estate Track Next Gen Private Fund Regulation

January 28, 2016 - IAA Webinar: Aging Clients and the Investment Advisory Practice | Benchmarking Best Practices

2015 Conferences

December 2, 2015 – IAA: Performance Marketing, GIPs and Social Media (Los Angeles)

November 10, 2015 – Schwab Impact: Cybersecurity (Boston)

November 1, 2015 - NSCP National: Effective Practices for Managing Conflicts of Interest; Compliance Risk Management

October 14, 2015 – NRS: Succession Planning (San Diego)

October 7, 2015 – EB5 Webinar: Marketing Material; Role and Legal Liability of Marketing Material that are Separate from the Private Placement Memorandum

September 29, 2015 – Ascendant: The SEC's Recent Proposals to Further Expand Data Collections: Forms ADV and PF; Deciphering the Latest SEC Document Request List: Re-engineering the Next OCIE Exam

August 12, 2015 – EB5 Webinar: Private Placement Memorandum: Legalize vs. Plain English

August 11, 2015 – Financial Tracking Webinar: Simplifying Compliance for the Complex Firm

August 10, 2015 – CCLS Annual Compliance Symposium (Anaheim, CA)

May 19, 2015 - CCLS Webinar: Compliance Considerations for Advisers to Mutual Funds and Institutional Clients

March 24, 2015 - IA Watch Webinar: SEC Exam Priorities: The Hot Topics and Keys to Ensuring a Successful Outcome

March 12, 2015 - NSCP Regional: How to Facilitate Communications with the Public; Keeping Communications with the Public Compliant; Aligning Disclosures with Business Practices (Anaheim, CA)

March 4-5, 2015 - IAA Compliance Conference: Compliance Issues for Advisers with Individual Clients (Arlington, VA)

February 26-27, 2015 - IA Watch: Advertising and Marketing: Get the Goods to Stay Out of Trouble (Washington DC)

February 17, 2015 - CCLS Webinar: Compliance Surveillance for Trading and Best Execution

2014 Conferences

November 11, 2014 - CCLS Webinar: Performance Marketing & Social Media

November 11, 2014 - Southern California Compliance Group Member's Meeting: New Regulations, Hot Topics and What to Expect in 2015 (San Diego, CA)

October 22, 2014 - NSCP National: BD/IA - Dual Registrant Challenges (Washington, DC)

September 30, 2014 - Ascendant Broken Windows - All-Encompassing Enforcement;
New Age of Marketing: Same Rules, New Considerations (Palm Springs, CA)

September 9, 2014 - CCLS Annual Compliance Symposium: How to Prepare for the SEC - Technology and Beyond (Beverly Hills, CA)

August 19, 2014 - IA Watch Webinar: Cybersecurity: Unraveling the Risks and Handing You a Comprehensive Approach to Keeping Your Business Safe

August 13, 2014 - CCLS Webinar: Cybersecurity and BCPs

July 15, 2014 - IA Watch Webinar: Business Continuity Planning: How Tragedy Can Test You Real-Life Lessons from Peers who Had to Put their BCP in Place

June 12-13, 2014 - IA Compliance Best Practices Summit West: Best Practices (Las Vegas, NV)

May 20, 2014 - CCLS Webinar: Identifying Compliance Risks and Gaps at Your Firm

April 23, 2014 - NSCP Regional: Conducting Due Diligence (Chicago, IL)

April 1, 2014 - Ascendant: Trading Practices and Challenges of Investment Advisers; Social Media Strategies (Savannah, GA)

May 19, 2014 - CCLS Webinar: Compliance Considerations for Advisers to Mutual Funds and Institutional Clients

March 31- April 2, 2014 - Ascendant National Conference: Aligning Compliance Resources for Advisory Organizations (Savannah, GA)

March 13, 2014 - NSCP Regional Meeting: Communications with the Public; Conducting Due Diligence (San Francisco, CA)

March 6, 2014 - CCLS Webinar: Hot Topics in SEC Exams & How to Prepare

February 19, 2014 -Schwab Knowledge Forum: Establishing a Culture of Compliance and Risk Management for Competitive Business Advantage

January 30, 2014 - Schwab Knowledge Forum: Prepare For and Survive an SEC Examination (Los Angeles, CA)

January 23, 2014 - Schwab Knowledge Forum: Establishing Compliance and Risk Management for Competitive Business Advantage (Portland, OR)

January 22, 2014 - Schwab Knowledge Forum (Bellevue, WA) - Establishing Compliance and Risk Management for Competitive Business Advantage

2013 Conferences

October 21-23, 2013 – NSCP National Conference: IA Regulatory Examinations (Small Firms); Best Practices for Business Continuity and Disaster Recovery (Washington, DC)

October 3-4, 2013 – IA Compliance Best Practices Summit: Expert Roundtable on Today's Hot Compliance Topics; Techniques to Improve Your Due Diligence While Avoiding Enforcement Risks (Los Angeles, CA)

September 25-27, 2013 – Ascendant Conference: Old Advertising Rules in the Modern Age; Managing Risk: Onboarding Employees (Napa, CA)

September 12, 2013 – TD Ameritrade Adviser Operations Workshop: Understanding Estate Planning Basics & Regulatory Considerations Affecting Advisors (Dallas, TX)

July 31-August 1, 2013 – TD Ameritrade Adviser Operations Workshop: Understanding Estate Planning Basics & Regulatory Considerations Affecting Advisors (La Jolla, CA)

July 23, 2013 – MylawCLE Webinar: The Do's and Don'ts of Performance Advertising

June 20, 2013 – CFA Regional Meeting: SEC Examinations and Regulatory Hot Topics (San Diego, CA)

June 3-4, 2013 – NSCP Regional Meeting: Due Diligence on Third Parties; The Compliance Issues for Various Private Fund Structures and Business Models (Los Angeles, CA)

May 20, 2013 – San Diego County Bar Association: Business and Corporate Law Section – Annual Securities Law Update (San Diego, CA)

March 11, 2013 - IA Watch's IA Compliance Best Practices Summit: Techniques to Improve Your Due Diligence While Avoiding Enforcement Risks (Washington DC)

February 21, 2013 - Charles Schwab: Establishing Compliance and Risk Management for Competitive Business Advantage (Beverly Hills, CA)

January 23, 2013 - Wolters Kluwer Financial Services Webinar: Enterprise Risk Management

2012 Conferences

November 20, 2012 - Wolters Kluwer Financial Services Webinar: Enterprise Risk Management

November 13-16, 2012 - Schwab IMPACT: Building a Culture of Compliance for Competitive Advantage (Chicago, IL)

October 21-23, 2012 - NSCP National: Intro to Compliance (Small Firms) & Enterprise Risk Management (Washington DC)

October 17-19, 2012 - ACA Fall Compliance Conference: Conducting an Annual Review and Enterprise Risk Management (San Diego, CA)

October 1, 2012 - Financial Research Associates, LLC: Developing an Acceptable P&P Manual & Effectively Responding to RFPs (Philadelphia,PA)

September 19-21, 2012 - Ascendant Compliance Conference: Insider Trading Concerns Should Still Keep You Up at Night & Real Processes for Vendor Selection and Management (Scottsdale, AZ)


September 10, 2012 - CCLS Compliance Essentials Workshop: What You Need to Know and How to Prepare (Los Angeles, CA)

June 14, 2012 - San Diego County Bar Association: Annual Securities Law & Dodd-Frank Update (San Diego, CA)

May 1, 2012 - Schwab Compliance Seminar 2012: Staying Ahead of the Latest Regulatory Issues and Trends: What You Need to Know in 2012 (San Francisco, CA)

April 25, 2012 - ACA Spring 2012 Compliance Conference: Introduction to Investment Adviser Compliance & CCO Liability (Fort Lauderdale, FL)

April 17, 2012 - Marcum LLP Webinar: How to Survive a Regulatory Examination

March 12-13, 2012 - NSCP Regional Meeting: A Regulatory Exams & IA/PF Ethics, Compliance and Risk in Today's World (San Francisco, CA)

March 5 - 6, 2012 - Ascendant Compliance Conference: Recent Enforcement Actions Against Advisers and CCO's & Real Processes for Vendor Selection and Management (San Antonio, TX)

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: New Regulatory Examinations (Small Firms) & Advertising for Investment Advisers (include GIPS) (Baltimore, MD)

September 27, 2011 – San Diego County Bar Association Webinar: Annual Securities Law Update – 1 Year After the Dodd-Frank Act: Where We've Gone and What's in Store for the Future

September 19, 2011 - IA Compliance Fall Conference: Social Media & Advertising (Philadelphia, PA)

September 14-16, 2011 - Ascendant Compliance Conference: Expanding Your Knowledge of Social Media Networks (San Diego, CA)

September 15-16, 2011 – Tamarac Annual User Conference: How to Prepare For and Survive an SEC Examination (Seattle, WA)

September 13, 2011 - ACA Compliance Conference: CCO Liability (Scottsdale, AZ)

June 13, 2011 - NSCP Regional Meeting: Practical Guidance to Testing and Oversight (Toronto, Canada)

May 3, 2011 – IA Week Webinar: Advertising & Marketing: Knowing the CCO's Responsibilities

March 31, 2011 - Ascendant Compliance Conference: Marketing Advisory Services and Protection of Client Records and Information (Naples, FL)

March 17, 2011 - Charles Schwab: The Compliance Update: The Effect of Regulatory Changes for Investment Advisor(Beverly Hills, CA and Pasadena, CA)

March 10, 2011 - IAA Investment Adviser Compliance Conference: Annual Review (Arlington, VA)

March 4, 2011 - ACA's 2011 Spring Compliance Conference: Code of Ethics (Orlando, FL)

February 28, 2011 - NSCP West Coast Regional Meeting: IA Examinations Process (Internal and External) and Lab Session: Writing an ADV (Los Angeles, CA)

February 10, 2011 - SD NAPFA: The Dodd-Frank Act: What You Need to Know and How to Prepare (La Jolla, CA)

February 2-4, 2011 - TD Ameritrade Institutional's 2011 National Conference: How to Survive an Audit and Maximizing Your Online Presence (San Diego, CA)

2010 Conferences

November 1-2, 2010 - NSCP National Meeting: Due Diligence on Sub-advisers, Vendors, and New Products and Addressing New Issues in Regulatory Examinations (Small Firms)(Baltimore, MD)

October 27, 2010 - FRA Hedge Fund Registration Master Class: The Actual Process of Registration: A Practical Guide and Policies and Procedures Part II - Key Components and the Necessity for a Dynamic Approach (New York, NY)

October 20, 2010 – Hedge Fund Association Symposium: The Registration Process; How to Effectively Promote Your Hedge Fund; and Practical Steps to Protect the Fund Adviser and Principals (San Francisco, CA)

October 14, 2010 - San Diego County Bar Association: Dodd-Frank Act: The Annual Securities Law Update (San Diego, CA)

October 12, 2010 - Charles Schwab: The Dodd-Frank Act: What you Need to Know and How to Prepare (San Diego, CA)

October 6, 2010 - Charles Schwab: The Dodd-Frank Act: What you Need to Know and How to Prepare(Newport Beach and Los Angeles, CA)

September 27, 2010 - CFA Institute: The Dodd-Frank Act: What you Need to Know and How to Prepare (Tulsa and Oklahoma City, OK)

September 22, 2010 - ACA Compliance Group: Surviving and Thriving as a CCO (San Diego, CA)

September 16-17, 2010 - FRA Marketing & Advertising Compliance Forum: 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 (New York, NY)

September 1, 2010 - Financial Planning Association Webinar: Being Compliant with your Social Media Strategy

June 16, 2010 - Charles Schwab Conference: The New Era of Risk Management: How to Protect Yourself and Your Firm (Chicago, IL)

April 27, 2010 - NICSA Conference: The Ever-Changing Compliance and Regulatory World (Los Angeles, CA)

March 25-26, 2010 - IA Week Best Practices Summit: Understanding the Potential and Limits of Advertising & Marketing (Washington, D.C.)

March 10, 2010 - Charles Schwab Conference: The Amended Custody Rule & Other Regulatory Impacts on Advisors (Beverly Hills, CA)

March 10, 2010 - Ascendant Conference: The Study of RFPs and Due Diligence Questionnaires & Processes and The Destruction of Records: Risks and Rewards (Santa Monica, CA)

February 25-26, 2010 - IAA & ACA Compliance Forum: Risk Management Workshop for Small Firms(Arlington, VA)

February 23, 2010 - Charles Schwab Conference - The New Era of Risk Management: How to Protect Yourself and Your Firm (San Francisco, CA)

February 22, 2010 - NSCP Regional Meeting: Dialogue with Area Regulators (San Francisco, CA)

February 1, 2010 - FRA Investment Adviser Compliance Conference: Advertising & Marketing Compliance and Examining Pay-to-Play Regulatory & Enforcement Issues (New York, NY)

2009 Conferences

November 3-6, 2009 - NRS Twenty-fourth Annual Investment Adviser and Broker-Dealer Compliance Conference: Adviser Issues in the Institutional and Retirement Marketplace (Las Vegas, NV)

October 4-7, 2009 - NSCP National Meeting: Compliance Programs (Large Firms) and IA Regulatory Panel (Philadelphia, PA)

September 21, 2009 - IA Compliance Fall Conference: Staying on the Right Side of the Compliance Line with Performance Advertising and Marketing and Solutions for Your Trickiest Compliance Problems(Philadelphia, PA)

September 15, 2009 - Professional Association for Investment Communication Resources: Taking Action in Uncertain Times- Compliance Panel (New York,NY)

March 18-20, 2009 - Ascendant Compliance Conference: What to Know about Your Employees and Vendors; Marketing Workshop (New Orleans, LA)

March 16, 2009 - NSCP West Coast Regional Meeting: Dialogue with Area Regulators (Los Angeles, CA)

2008 Conferences

October 20-22, 2008 - NSCP National Membership Meeting: Investment Adviser Compliance Overview (for Small Firms); Privacy Considerations: Regulation S-P Amendments (Philadelphia, PA)

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 Fall Conference: New Form ADV: Part 2 Most Difficult Disclosure Issues Revealed (Philadelphia, PA)

September 17-19, 2008 - Ascendant Compliance Conference: The Integration of Operations and Business Management; Conducting an Effective Annual Review; and The New Enhanced Regulation S-P(San Diego, CA)

August 12, 2008 - IA Week Webinar - How to Survive & Thrive During your Next SEC Exam

May 16-17, 2008 - Financial Research Associates Fourth Annual Fund of Funds Business Operations Forum: Managing and Surviving an SEC Review; Understanding Marketing and Advertising Compliance - an Overview (New York, NY)

May 12-15, 2008 - National Regulatory Services 23rd Annual Spring Compliance Conference: Form ADV, Dramatic Change Ahead: The Evolution of New Part 2 and Public Disclosure; Wrap Fee Accounts: Understanding their Unique Compliance Challenges (Miami, FL)

April 9-11, 2008 - IMS National Conference: The Next Step in Compliance: The Integration of Operations & Business Management; Planning and Documenting the Annual Review; Insights into New Regulatory Developments: ADV Part 2 and Other Disclosure Developments (New Orleans, LA)

March 27-28, 2008 - Financial Research Associates Marketing & Advertising Compliance Forum: Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-Line Business (New York, NY)

January 14, 2008 - NSCP West Coast Regional Membership Meeting: Safeguarding and Protecting Confidential Client Information (San Francisco, CA)