Webcasts

This innovative series of webcasts focuses on timely compliance management issues affecting investment advisers, broker-dealers, mutual funds, and investment managers claiming GIPS compliance.

Each session, you'll be able to interact with our speakers and print out seminar material. Join us for one or all events. If you cannot attend a webcast, you can access recorded versions in the archives or stay connected through the E-Coffeehouse forum.

The fee to attend is $225 per event. All you need is web access and a telephone.

Our webcasts begin at 11:00 a.m. ET. Webcast dates are subject to change.

Click here to review our Refund/Cancellation Policy.

Name Date
The Compliance Year in Review Dec 14, 2017 - 11:00am
Leveraging Analytics from Independent Model Validation and Risk Assessments Nov 16, 2017 - 2:00pm
Planning Your 2018 Compliance Budget Nov 15, 2017 - 11:00am
Assessing Manager Performance: Trends in Institutional Databases Nov 14, 2017 - 11:00am
Regulatory Cybersecurity Preparedness Nov 9, 2017 - 11:00am
Common Issues with Managed Account and Advisory Program Platforms Nov 8, 2017 - 11:00am
Expert Network Best Practices and the ARC’s Expert Network Chaperoning Services Nov 2, 2017 - 11:00am
Discussion of Results: 2017 Alternative Fund Manager Compliance Survey Nov 1, 2017 - 2:00pm
SEC Trends and Initiatives Oct 31, 2017 - 11:00am
Best Practices for Presenting Model Performance Oct 19, 2017 - 11:00am
Best Practices for Presenting Model and Hypothetical Performance Oct 19, 2017 - 11:00am
Effective and Compliant Employee Monitoring Oct 16, 2017 - 12:00pm
Lessons Learned from Recent Cyber Incidents: Equifax, SEC, Deloitte, and What You Need to Know Oct 12, 2017 - 2:00pm
Line of Defense Model: Impact on Compliance Programs Oct 11, 2017 - 2:00pm
Amendments to Form ADV Oct 10, 2017 - 11:00am
New NYS-DFS Cybersecurity Regulations: What You Need to Know Sep 28, 2017 - 11:00am
Investment Company Training Series: Investment Company Act – Focus on ETFs Sep 26, 2017 - 11:00am
Highlights from the 21st Annual GIPS Standards Conference Sep 21, 2017 - 11:00am
Be Prepared for Your SEC Examination: Maintaining Proper Books and Records Sep 19, 2017 - 11:00am
Managing a Global Compliance Program Sep 13, 2017 - 11:00am
AML Analytics – The New Normal Aug 24, 2017 - 2:00pm
Briefing: Regulatory Investment in Trade Surveillance – What You Should Know Aug 10, 2017 - 11:00am
CCO's Guide to Calculating and Reporting IRRs Jul 27, 2017 - 11:00am
Investment Company Training Series: Investment Company Act - Focus on Section 12 Jul 25, 2017 - 11:00am