| IA Performance Advertising and Marketing |
IMS Consulting (Napa Valley, CA) |
2007 |
| 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 |
FRA - Dual Registrant Symposium (New York, NY) |
2007 |
| Cross-Channel Marketing Compliance and Managing Conflicts of Interest within a Multi-Line Business; and How to Conduct the Annual Compliance Review |
Financial Research Associates' (FRA) 3rd Annual Marketing & Advertising Compliance Forum (New York, NY) |
2007 |
| Designing Internal Controls and Writing and Implementing Policies and Procedures |
National Society of Compliance Professionals (NSCP) National Meeting |
2006 |
| Investment Adviser Fundamentals of Compliance |
National Society of Compliance Professionals (NSCP) National Meeting |
2006 |
| Risk Management and Conflicts of Interest: Conducting Compliance Reviews |
BD Week's Annual Fall Compliance Conference |
2006 |
| New and Old Form ADV Disclosure Requirements |
National Regulatory Services' (NRS) 21st Annual Fall Compliance Conference |
2006 |
| Testing Your Compliance Policies and Procedures |
Financial Research Associates' (FRA) 6th Annual Investment Adviser Compliance Forum |
2006 |
| Hands-On Experience With the 1940 Act |
FRA's 6th Annual Investment Adviser Compliance Forum |
2006 |
| Learn How to Prepare and Thrive Through an SEC Audit |
FRA's REG NMS and Soft Dollar Compliance Forum |
2006 |
| The Key Elements of a Successful Compliance Program |
FRA's 5th Annual Investment Adviser Compliance Forum |
2006 |
| State of the State: Compliance Program Benchmarking - Where do you Rank? |
FRA's 5th Annual Investment Adviser Compliance Forum |
2006 |
| Creating an Accurate and Effective Disclosure Document |
NRS's 21st Annual Spring Compliance Conference |
2006 |
| IA Changing Complexion of the Chief Compliance Officer and the Compliance Department |
NSCP's West Coast Regional Meeting |
2006 |
| The Deadline Approaches: How to Conduct the Annual Compliance Review |
FRA's 4th Annual Investment Adviser Compliance Forum |
2006 |
