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
2018 Investment Management Compliance Testing Survey Results Webcast Jun 14, 2018 - 2:00pm
Investment Company Board Reporting May 30, 2018 - 11:00am
SEC Exams of Digital (Robo) Advisers May 15, 2018 - 2:00pm
Discussion of Results: Spring 2018 Alternative Fund Manager Compliance Survey Apr 26, 2018 - 11:00am
Independent Broker Dealer Compliance Roundtable Apr 25, 2018 - 2:00pm
GIPS Committees and Working Groups Apr 18, 2018 - 11:00am
Lessons Learned from Recent Cyber Incidents: Facebook, Under Armour, Panera, and What You Need to Know Apr 17, 2018 - 11:30am
Compliance Roundtable Webcast for Bank Affiliated Broker-Dealers Apr 11, 2018 - 2:00pm
A Brave New World – Primers on Big Data and Cryptocurrency Risks Apr 10, 2018 - 11:00am
How the GDPR Affects You Mar 22, 2018 - 11:00am
Platforms Requiring Third-Party Performance Attestation: Model Performance Certifications Mar 14, 2018 - 11:00am
Platforms Requiring Third-Party Performance Attestation: Implementing the GIPS Standards Mar 13, 2018 - 11:00am
Surprise Examination Requirement Under the Custody Rule Mar 7, 2018 - 11:00am
GDPR: Preparing for the May 25 Deadline Feb 27, 2018 - 11:00am
Real Estate Update Feb 23, 2018 - 11:00am
Pitfalls and Best Practices for Presenting Third-Party Performance Feb 22, 2018 - 11:00am
2018 SEC Exam Priorities and Focus Areas for Investment Companies Feb 21, 2018 - 11:00am
Private Equity Update Feb 20, 2018 - 11:00am
SEC Examination Priorities and Focus Areas for 2018 Feb 12, 2018 - 2:00pm
Demonstration of ACA Aponix’s Vendor Risk Management Platform Jan 16, 2018 - 11:00am
NYS-DFS Cybersecurity Regulation: Major Requirements for March 1 Deadline Jan 11, 2018 - 11:00am
Common Marketing Pitfalls for Investment Advisers Jan 9, 2018 - 11:00am