In today’s fast-changing regulatory environment, there’s little room for error. To protect your firm from regulatory risk, you need to educate staff at every level to successfully incorporate compliance into their day-to-day business operations.
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Two Education Options: |
Three Education Options: |
March 2
Disclosure: Investment Adviser Performance and Advertising
Online / 1:00 p.m. – 3:00 p.m. (ET)
March 4
Post-Madoff Focus on Custody: Understanding the New Amendments to the SEC Custody Rule
Online / 1:00 p.m. – 3:00 p.m. (ET)
March 9
Ethics: Investment Adviser Codes of Ethics—Requirements and Best Practices
Online / 1:00 p.m. – 3:00 p.m. (ET)
