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| Conferences |
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.
Training Opportunities - Come see CCLS members present at one of the
following industry conferences!
2010 Conferences
2009 Conferences
2008 Conferences
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.
Training Opportunities - Come see CCLS members present at one of the
following industry conferences!
2010 Conferences
- March 25-26, 2010 – IA Week Best Practices Summit (Washington, D.C.)
- Understanding the Potential and Limits of Advertising & Marketing
- March 10, 2010 – Ascendant Conference (Santa Monica, CA) – The
Study of RFPs; Due Diligence Questionnaires & Processes and The
Destruction of Records: Risks and Rewards
- March 10, 2010 - Charles Schwab Conference (Los Angeles,
CA) - Custody Rule
- February 25-26, 2010 – IAA & ACA Compliance Forum (Arlington, VA) –
Risk Management Workshop for Small Firms
- February 23, 2010 - Charles Schwab Conference (San
Francisco, CA) - The New Era of Risk Management: How to
Protect Yourself and Your Firm
- February 22, 2010 – NSCP Regional Meeting (San Francisco, CA) -
Dialogue with Area Regulators
- February 1, 2010 – FRA Investment Advisor Compliance Conference
(New York, NY) – Advertising & Marketing Compliance and Examining
Pay-to-Play Regulatory & Enforcement Issues
2009 Conferences
- November 3-6, 2009 – NRS Twenty-fourth Annual Investment Adviser
and Broker-Dealer Compliance Conference (Las Vegas, NV) – Adviser
Issues in the Institutional and Retirement Marketplace
- October 4-7, 2009 - National Society of Compliance Professionals (NSCP)
(Philadelphia, PA) National Meeting - Compliance Programs (Large
Firms); IA Regulatory Panel
- September 15,2009 - Professional Association for Investment
Communications Resources (PAICR) (New York, NY)- Taking Action in
Uncertain Times
- September 21, 2009 - IA Compliance Fall Conference 2009
(Philadelphia, PA) - Staying on the Right Side of the Compliance Line
with Performance Advertising and Marketing
- March 18-20, 2009 – Ascendant Compliance Conference (New Orleans,
LA)– Marketing Workshop; Panel Discussion - What to know about your
employees and vendors
- March 16, 2009 - National Society of Compliance Professionals (NSCP)
West Coast Regional Meeting (Los Angeles, CA) – Dialogue with Area
Regulators
2008 Conferences
- October 20-22, 2008 - National Society of Compliance Professionals
(NSCP) - Safeguarding and Protecting Confidential Client Information
- September 22 & 23, 2008 - IA Compliance Fall Conference 2008
(Philadelphia, PA) - New Form ADV: Part 2's most Difficult Disclosure
Issues Revealed
- September 17-19, 2008 - Ascendant Compliance Conference, The
Integration of Operations and business Management (San Diego, CA) -
Conducting an Effective Annual Review; The New Enhanced Regulation
S-P
- 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; Wrap Fee Accounts:
Understanding Their Unique Compliance Challenges
- 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
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0050 Fax: 619-278-0020 |