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Category: 2010

Social Media

2010 Webinar – Social Media: Potential Opportunities and Pitfalls Social Media: Potential Opportunities and Pitfalls May 27, 1:00 pm – 2:15pm EDT Presenter: Michele Gibbons, Mayer Brown Moderator: Valerie Baruch, Assistant...

December 18, 2018

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Privacy

2010 Webinar – Privacy and Safeguarding of Customer Information: Developing a Comprehensive Program for Your Firm Privacy and Safeguarding of Customer Information: Developing a Comprehensive Program for Your Firm May...

December 18, 2018

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Soft Dollars Arrangement

2010 Webinar – Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current Issues Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current...

December 18, 2018

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New Pay to Play Rule

2010 Webinar – Compliance with New Pay-to-Play Rule 206-4(5) under the Advisers Act 2010 Webinar: Compliance with New Pay-to-Play Rule 206-4(5) under the Advisers Act Tuesday, August 17, 2010, 1:00...

December 18, 2018

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Dodd Frank

2010 Webinar – Dodd-Frank Wall Street Reform Act: What Every Investment Adviser Should Know 2010 Webinar: Dodd-Frank Wall Street Reform Act: What Every Investment Adviser Should Know Monday, September 13, 2010,...

December 18, 2018

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Expansive Changes

2010 Webinar – Expansive Changes to the Custody Rule: Investment Adviser Compliance with the SEC’s Rule Expansive Changes to the Custody Rule: Investment Adviser Compliance with the SEC’s Rule February...

December 18, 2018

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GIPS

2010 Webinar – GIPS 2010: Coming into Compliance with New Standards GIPS 2010: Coming into Compliance with New StandardsApril 6, 2010, 1:00 – 2:15 pm EDT Presenter: Michael S. Caccese,...

December 18, 2018

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New Brochure Rule

2010 Webinar – Form ADV Part 2: Complying With the SEC’s New Brochure Rule Registration for this event is closed. To purchase a recording of this event, please...

December 18, 2018

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