Events

2017 Conferences

December 6, 2017
IAA : 2017 Compliance Workshop – (Los Angeles, CA)
Presenter : Michelle Jacko
Topic : Hands-on workshop session analyzing a "bad ad"
Topic : Checklist of the new Form ADV Part 1A amendments
Topic : Oversee third-party service providers

November 2, 2017
IA Compliance: The Full 360° View West - (Los Angeles, CA)
Presenter : Bob Conca
Topic : New Form ADV - Disclosures: What’s Changed and How to Prepare
Presenter : David Sobel
Topic : Case Study: Handling Aging Client Issues

October 16-18, 2017
NSCP National Conference - (Washington, D.C.)
Presenter : Michelle Jacko
Topic: Compliance Risk and Governance in Today's World

October 10-12, 2017
Ascendant Compliance Management Conference - (Napa, CA)
Presenter : Michelle Jacko
Topic : Creating a Business and Compliance Risk Inventory: Finding the Hidden Risks
Presenter : Bob Conca
Topic : Private Funds: Onboarding New Investors & the Challenges Related to Foreign Investors

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, CA)

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

October 16-19, 2016
NSCP National Conference : Cybersecurity for Small Firms
Topic: 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
Topic : 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
Topic: Compliance Risk Management

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

October 7, 2015
EB5 Webinar : Marketing Material
Topic: 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
Topic : Deciphering the Latest SEC Document Request List: Re-engineering the Next OCIE Exam

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

August 11, 2015
Topic: 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
Topic : IA Watch Webinar: SEC Exam Priorities: The Hot Topics and Keys to Ensuring a Successful Outcome

March 12, 2015
Topic: NSCP Regional: How to Facilitate Communications with the Public
Topic: Keeping Communications with the Public Compliant
Topic: 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)
Topic : Establishing Compliance and Risk Management for Competitive Business Advantage

2013 Conferences

October 21-23, 2013
NSCP National Conference : IA Regulatory Examinations (Small Firms)
Topic: 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
Topic Managing Risk : On boarding 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
Topic: 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
Topic 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)