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!

2012 Conferences

• April 25, 2012 - ACA Spring 2012 Compliance Conference (Fort Lauderdale, FL) - Introduction to Investment Adviser Compliance & CCO Liability
• March 12-13, 2012 - NSCP Regional Meeting (San Francisco, CA) - IA Regulatory Exams & IA/PF Ethics, Compliance and Risk in Today's World

• March 5, 2012 - Ascendant Compliance Conference (San Antonio, TX) - Recent Enforcement Actions Against Advisers and CCO’s & Real Processes for Vendor Selection and Management
• February 27, 2012 - TD Ameritrade Institutional Webinar - 2012 Compliance Hot Topics
• January 18, 2012 - NSCP Webinar - Advertising for IAs (including GIPs)

2011 Conferences

• October 17-19, 2011 - NSCP National Fall Conference (Baltimore, MD) - New Regulatory Examinations (Small Firms) & Advertising for Investment Advisers (include GIPS)
• September 27, 2011 - San Diego County Bar Association (Webinar) - Annual Securities Law Update - 1 Year After the Dodd-Frank Act: Where We've Gone and What's in Store for the Future 
• September 19, 2011 - IA Compliance Fall Conference (Philadelphia, PA) - Social Media & Advertising
• September 15-16, 2011 - Ascendant Compliance Conference (San Diego, CA) - Expanding Your Knowledge of Social Media Networks
• September 16, 2011 - Tamarac Annual User Conference (Seattle, WA)
• September 13, 2011 - ACA Compliance Conference (Scottsdale, AZ) - CCO Liability
• June 13, 2011 - NSCP Regional Meeting (Toronto, Canada) - Practical Guidance to Testing and Oversight
• May 3, 2011 - IA Week (Webinar) - Advertising & Marketing: Know the CCO's Responsibilities  
• March 31, 2011 - Ascendant Compliance Conference (Naples, FL) - Marketing Advisory Services and Protection of Client Records and Information

• March 17, 2011 - Charles Schwab (Beverly Hills, CA and Pasadena, CA) - The Compliance Update:  The Effect of Regulatory Changes for Investment Advisors
• March 2-4, 2011 - ACA's 2011 Spring Compliance Conference (Orlando, FL) - Code of Ethics
• February 28, 2011 - NSCP West Coast Regional Meeting (Los Angeles, CA) - IA Examinations Process (Internal & External) and Lab Session:  Writing an ADV
• February 10, 2011 - SD NAPFA (La Jolla, CA) - The Dodd-Frank Act: What You Need to Know and How to Prepare
• February 2, 2011 - TD Ameritrade Institutional's 2011 National Conference (San Diego, CA) - How to Survive an Audit and Maximizing Your Online Presence

2010 Conferences

• November 1-2, 2010 - NSCP National Meeting (Baltimore, MD) – Due Diligence on Sub-advisers, Vendors, and New Products and Addressing New Issues in Regulatory Examinations (Small Firms)
• October 27, 2010 - FRA Hedge Fund Registration Master Class (New York, NY) - The Actual Process of Registration: A Practical Guide and Policies and Procedures Part II - Key Components and the Necessity for a Dynamic Approach
• October 14, 2010 – San Diego County Bar Association (San Diego, CA) - Dodd-Frank Act: The Annual Securities Law Update
• October 12, 2010 – Charles Schwab (San Diego and Newport Beach, CA) - The Dodd-Frank Act: What You Need to Know and How to Prepare
• October 6, 2010 – Charles Schwab (Los Angeles, CA) - The Dodd-Frank Act: What You Need to Know and How to Prepare
• September 27, 2010 – CFA Institute (Tulsa and Oklahoma City, OK) - The Dodd-Frank Act: What You Need to Know and How to Prepare
• September 22, 2010 – ACA Compliance Group (San Diego, CA) – Surviving and Thriving as a CCO

• September 16-17, 2010 - FRA Marketing & Advertising Compliance Forum (New York, NY) - Use of Social Media and Electronic Communications in Marketing & Advertising: Leveraging the Internet to Grow Your Business and Responding to RFPs: Best Practices and Guidelines to Ensure Compliance Procedures
• September 1, 2010 – Financial Planning Association Webinar – Being Compliant with your Social Media Strategy

• June 16, 2010 – Charles Schwab Conference (Chicago, IL) - The New Era of Risk Management: How to Protect Yourself and Your Firm
• April 27, 2010 – NICSA Conference (Los Angeles, CA) - The Ever-Changing Compliance and Regulatory World
• March 25-26, 2010 – IA Week Best Practices Summit (Washington, D.C.) - Understanding the Potential and Limits of Advertising & Marketing
• March 10, 2010 – Charles Schwab Conference (Beverly Hills, CA) - The Amended Custody Rule & Other Regulatory Impacts on Advisors
• March 10, 2010 – Ascendant Conference (Santa Monica, CA) – The Study of RFPs and Due Diligence Questionnaires & Processes and The Destruction of Records: Risks and Rewards
• 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

• 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

• 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 Informatio