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Enforcement, Compliance & Operations (ECO) – NYC 2019™
REGISTER NOW
Women in Asset Management and Regulation™ – NYC 2019
REGISTER NOW
Professional Ethics for Legal and Compliance™
PracticEdge™
Social Media Marketing
Marketing Managed Accounts and Fund Interests to Public Pension Plans
Updates On DOJ & SEC FCPA Enforcement
Custody Rule
Due Diligence – Legal & Operational
Register for All Upcoming PracticEdge Elite Sessions
CompliancEdge™
Overview
Go-To Info Resource
Authoritative Faculty
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Service & Support
CCE™
Chartered Regulatory Counsel (CRC™)
Tuition & Licensure
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Continuing Compliance Education (CCE™)
Chartered Regulatory Counsel (CRC™)
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Asset Manager Code- Compliance Transparency™
Compliance Transparency Platform™
Cost-effective Compliance Transparency™
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Activist Investing – UK Emerging Issues & Trends
AIFMD – Practical Implications & Ramifications
AIFMD Emerging Issues
Anti-Money Laundering Regulation 1
Anti-Money Laundering Regulation 2
Audit Impact of Enforcement Actions 2
Compliance Practices & Controls
Compliance Process & Practice
Compliance Programs for Expert Networks 2
Conflicts of Interest for Private Fund Managers 1
CTA and CPO Regulation
CyberSecurity for Asset Managers 1
CyberSecurity for Asset Managers 2
Department of Labor Investigation & Enforcement
ERISA Compliance & Enforcement 1
FATCA & Tax Compliance 1
FATCA & Tax Compliance 2
FCPA Regulation & Enforcement 1
FCPA Regulation & Enforcement 2
Fund Governance & Due Diligence
Fund Governance for Asset Managers 1
Fund Governance for Asset Managers
Fund Marketing & Distribution 1
Future of CTA & CPO Regulation
Global Fund Marketing & Distribution 1
Global Regulatory Reporting Practice 2
Hedge Fund Structures & Offering Memoranda
Implementing & Automating FATCA
Insider Trading Prosecution
Investment Adviser Regulation 1
Investment Company Regulation
Launching Fund Vehicles
Liquid Alternatives Regulation and Compliance
New Regulatory Tools & Technologies 1
NFA Audit Practice 1
NFA Audit Practice 2
Operational Due Diligence 1
Operational Due Diligence 2
Operational Process & Fund Administration 1
Operational Process & Fund Administration 2
Operational Process & Fund Administration 3
Outsourcing for Alternative Investment Managers
Pay to Play Regulation & Compliance
Personal Liability for RIA Executives
Private Equity Structures
Private Fund Compliance
Regulation of Valuation Practice 1
Regulation of Valuation Practice 2
Regulatory Examination Practice 1
Regulatory Examination Practice 2
Regulatory Practice 1
Regulatory Practice 2
Regulatory Reporting 2
Regulatory Reporting 1
Risk Assessment & Compliance Testing
Risk Inventory for Investment Advisers
SEC Examination & NFA Audit Practice 1
SEC Examination Practice 1
SEC Examination Practice 2
SEC Initiatives for Private Fund Managers
Shadow Accounting 1
Shadow Accounting Process & Practice 2
Supervision and Remediation Practice 2
Systemic Risk & FSOC Regulation
Systemic Risk Regulation
Tax Compliance & Reporting
Upgrading Compliance Process and Practice 1
Upgrading Portfolio Monitoring & Supervision
Valuation Process
Whistle Blower Regulation 1
Commissioner’s Round Table
Conflicts of Interest for Private Fund Managers 2
Operational Due Diligence 3
Personal Liability for RIA Executives 2
Upgrading Compliance Process and Practice 2
Forensic Testing and Compliance Analytics 2
Due Diligence and Review Outsourcing Arrangements
Portfolio Reporting for RIAs and RICs
Forensic Testing and Compliance Analytics 1
US Trade Sanctions – Compliance & Enforcement
ERISA Regulation for Asset Managers
SEC Filing and Reporting
Bermuda Asset Management Regulation 3
FACTA Compliance 1
Internal Audit Practice for Asset Mananagers
Legal and Compliance Considerations for Investment Advisers
Conflicts – Fiduciary Duty and Emerging Issues
Compliance Testing and Reviews 1
Compliance Programs for Expert Networks 1
Upgrading Compliance Process and Practice 3
Upgrading Compliance Process and Practice 4
Annual Reviews – Improving the Process 1
The Volcker Rule: A New Landscape
Conflicts of Interest
Investor Due Diligence
Whistle Blower Compliance 1
FSOC Regulation
SOC 1 and 2 for Asset Managers
FCPA Compliance and Enforcement 1
Shadow Accounting 3
Marketing and Distribution for Fund Managers
Enforcement Practice 3
Fund Governance – Advanced Topics 2
Investor Servicing
AML Regulation 2
Broker Dealer Regulation for Private Funds
Audit Impact of Enforcement Actions
AIFMD & MiFID 2 Compliance
CyberSecurity Compliance
Virtual Currency – A Comprehensive Executive Analysis™
CyberSecurity Issues for Asset Managers
AML Regulation 3
Accounting and Taxation
CFTC User Group
Civil Enforcement and Criminal Prosecution
Compliance Process and Practice
Due Diligence
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Fund and Financial Market Governance
Internal, Civil and Criminal Investigations
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Operational Process and Internal Control Structure
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Risk Management
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Artabane PLLC
CFA
CFTC
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Debevoise
Dechert
DLA Piper
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Guidepoint
Hughes Hubbard & Reed
JW Michaels & Co.
King & Spalding
KPMG
Mayer Brown
Millenium
Millenium Partners
National Futures Association
New York State
NYSE
O'Melveny & Meyers
Patomak Global Partners
Proskauer
PwC
RCA
Seward & Kissel
Shearman & Sterling
Teacher Retirement System of Texas
Tiger Management Advisors LLC
Walkers
Willkie Farr
Winston Strawn