In-House Training Services
The financial industry recognizes the importance of legal and compliance training. As regulators examine key
firm principals, they inquire as to their knowledge of firm risks, controls, and industry regulations. In this
evolving securities environment, it is essential that firms have properly trained personnel who can serve as a
"front-line" defense to future customer complaints and costly mistakes.
CCLS can visit your firm to train employees and officers on the duties and responsibilities associated with their
investment advisory or broker-dealer business, including fiduciary and/or supervisory responsibilities.
Michelle Jacko and Philip Posner are seasoned and nationally recognized speakers on various compliance
issues. Both have authored articles for various publications and actively participates in various legal,
compliance and CPA organizations. They can provide guidance on various broker-dealer and investment
adviser topics.
If your organization would like to have them offer an educational seminar, please contact CCLS at
(619) 278-0020 or (877) 222-4833.
Training Opportunities - Come see CCLS members present at one of the following industry conferences!
2008 Conferences
- May 16-17, 2008 -Financial Research Associates (FRA), The Fourth Annual Fund of Funds Business
Operations Forum (NYC) - Managing and Surviving an SEC Review; Understanding Marketing and
Advertising Compliance - an Overview
- May 12-15, 2008 - National Regulatory Services (NRS), 23rd Annual Spring Compliance Conference -
Form ADV, Dramatic Change Ahead: The Evolution of New Part 2 and Public Disclosure
- April 9-11, 2008 - IMS National Conference (IMS) - The Next Step in Compliance: The Integration of
Operations & Business Management (New Orleans, LA) - Planning and Documenting the Annual
Review; Insights into New Regulatory Developments: ADV Part 2 and Other Disclosure Developments
- March 27-28, 2008 - Financial Research Associates (FRA) - Marketing & Advertising Compliance Forum
(New York, NY) - Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-
Line Business
- January 14, 2008 - National Society of Compliance Professionals (NSCP) West Coast Regional
Membership Meeting (San Francisco, CA) - Safeguarding and Protecting Confidential Client Information
2007 Conferences
- November 29-30, 2007 - Financial Research Associates (FRA); Dual Registrant Symposium (New
York, NY) - Defining the Supervision Obligation and the Differences Between Broker-Dealers and
Investment Advisers; and CCO Best Practices and Compliance Program Issues for the Dually
Registered
- November 15, 2007 - CFA Society of Los Angeles (Los, Angeles, CA) - How an SEC Exam is Performed
and How to Prepare
- October 23-26, 2007 - National Regulatory Services (NRS), Annual Fall Compliance Conference
(Huntington Beach, CA) - Advertising Compliance: SEC Performance and GIPS Guide
- October 17-19, 2007 - National Society of Compliance Professionals (NSCP) National Membership
Meeting (Washington DC) - IA Compliance for Beginners (Elementary Level); and IA – Wrap-Fee
Accounts: Managed Accounts and Multi-Discipline Portfolios
- October 2-3, 2007 – IMS Consulting (Napa Valley, CA) - IA Performance Advertising and Marketing
- September 24-25, 2007 - Financial Research Associates (FRA) 3rd Annual Marketing & Advertising
Compliance Forum (New York, NY) - Cross-Channel Marketing Compliance and Managing Conflicts of
Interest within a Multi-Line Business; and How to Conduct the Annual Compliance Review
- July 18, 2007 - Financial Research Associates (FRA) - Mastering Compliance for Sub-Advised Funds
- May 30-31, 2007 - Financial Research Associates (FRA) 8th Annual Investment Adviser Compliance
Forum (New York, NY) - Designing & Conducting Productive Compliance Training Sessions; and Mock
SEC Exam – Testing Your Compliance Policies and Procedures
- April 15-18, 2007 - National Regulatory Service (NRS) 22nd Annual Spring Compliance Conference
(Orlando, FL) - Form ADV and Meeting Investment Adviser Disclosure Requirements; and IA Peer-
Learning Roundtables: A Discussion of Compliance Programs – What Works Best?
- March 29-30, 2007 - Financial Research Associates (FRA) 2nd Annual Marketing & Advertising
Compliance Forum (New York, NY) - Cross-Channel Marketing Compliance and Managing Conflict of
Interest within a Multi-Line Business
- March 22-23, 2007 - IA Week & the Investment Advisor Association Best Practices Summit 2007
(Washington, DC) - Next Generation Compliance: Smart Solutions to Shift into High Gear Compliance
Basics: and Everything you wanted to Know But were Afraid to Ask
- January 30-31, 2007 - Financial Research Associates (FRA) The 7th Annual Investment Adviser
Compliance Forum (New York, NY) - The Key Elements of a Successful Compliance Program; and
How an SEC Exam is Performed and How to Prepare
- January 29, 2007 - National Society of Compliance Professionals (NSCP) West Coast Membership
Meeting (Los Angeles, CA) - IA Enhancing Your Internal Controls
|
