UPCOMING EVENTS:
Victoria will present at IA Watch’s IA Fall Compliance Best Practices Summit, October 3-4, 2013, at The Sofitel Los Angeles at Beverly Hills Hotel. She will be part of a panel of experts who will discuss disclosure “do’s and don’ts” and give examples of mistakes to avoid and best practices to emulate. In addition, attendees will be able to observe examples of difficult disclosures with respect to soft dollars, investment risks and more.
Please click on the link below for more information.
www.iawatch.com/conferences/c1384/agenda2.html#disc
PAST EVENTS:
IA Watch Webinar: Disclosure: Peer-Proven Guidance to Improve Communications and Avoid SEC Trouble Spots
Colleen and a panel of other compliance experts discussed the hot-button issues around disclosures the SEC is focusing on with concrete advice on how CCOs can improve client communications across their firm. Please click on the link below for more information.
http://www.iawatch.com/conferences/A2327/home.html
Victoria presented at IA Watch’s 15th Annual IA Compliance Best Practices Summit 2013, March 11-12, 2013. She was part of a panel of experts who discussed disclosure “do’s and don’ts” and gave examples of mistakes to avoid and best practices to emulate. In addition, participants were able to observe examples of difficult disclosures with respect to soft dollars, investment risks and more. Please click on the link below for more information.
http://www.iawatch.com/conferences/spring13/home.html
IA Watch Webinar: CCOs & Trading: Conquer Personal Trading Reviews, Best Ex, Soft Dollars and More
Trading is high on the list of compliance risks in most investment advisory firms. Victoria and a panel of other compliance experts discussed best practices for how to spot and resolve trading errors, prevent insider trading, allocate different trades and seek best price and execution. Please click on the link below for more information.
http://www.iawatch.com/conferences/A2339/home.html
IA Watch Webinar: New Form ADV, Part 1: How to Tackle the Big Changes Coming in 2012
Victoria was featured on a panel of experts who dissected the major revisions to Form ADV, Part 1 and gave pointers for how to prepare and update the form for the first quarter of 2012. Click on the link below for more information.
