Compliance YOUniversity offers training on rules, regulations, and industry best practices.  We provide unique industry-wide regulatory insight related to SEC (covering both the Investment Adviser Act and Investment Company Act), state, and/or GIPS compliance.

The webinars are presented by Compliance YOUniversity faculty members with significant industry experience, including 16 years of combined experience with the Securities and Exchange Commission.

Topics may include, but are not limited to:

  • ADV Parts 1 & 2
  • Filing Deadlines & Considerations
  • SEC Compliance Readiness –Current Focus Areas & Exam Priorities
  • Marketing & Advertising
  • Risk Assessment & Monitoring
  • Forensic Testing
  • Recent Enforcement Cases
  • Physical & Electronic Security
  • Business Continuity & Disaster Recovery Plan
  • Service Provider & Sub-Adviser Due Diligence
  • GIPS Compliance for Your CCO