| Conference |
Date |
Location |
Topic / Panel |
| Advent User Group
(AUG) Regional Meeting |
Dec 2011 |
NY, NY |
Pay-to-Play, Social Media, SEC Exams |
| Smarsh Inc |
Dec 2011 |
Portland, OR |
Social Media |
| Advent User Group
(AUG) Regional Meeting |
Sep 2011 |
Cincinnati, OH |
Pay-to-Play, Social Media, SEC Exams |
| Advent Software, Inc. Conference |
Sep 2011 |
Boston, MA |
Social Media: What You Need to Know. |
| Advent User Group
(AUG) Regional Meeting
|
August 2011 |
Charlotte, NC |
Hot Topic Discussions: Pay-to-play, Advertising, Social Media, Recent Exam topics |
| Advent Software, Inc. |
June 2011 |
Webcast |
Social Media: To Be or Not to Be? |
| IA Week |
March 2011 |
Webcast |
Best practices for
hammering out annual
reviews |
| IA Week |
March 2011 |
Washington, DC |
Advertising & Marketing/GIPS and Social Media |
Advent User Group
(AUG) Regional Meeting |
Feb 2011 |
Atlanta, GA |
Social Media: To Be or
Not to Be? |
Advent User Group
(AUG) Regional Meeting |
Nov 2010 |
Atlanta, GA |
ADV 2 Amendments |
Advent User Group
(AUG) Regional Meeting |
Oct 2010 |
Chicago, IL |
ADV 2 Amendments |
| IA Week |
August 2010 |
Webcast |
Practical Guidance for Investment Advisers –
Implementation of Compliance Procedures |
Advent User Group
Compliance/Executive
Management Seminar
|
May 2010
March 2010 |
Chicago, IL
Boston,
MA |
Compliance 101 |
| Advent User Group
|
Feb 2010 |
Webcast |
Overview of Current Regulatory Issues |
Advent User Group
(AUG) Regional Meeting |
Nov 2009 |
Atlanta, GA |
Using Advent
Software in a
Compliance Annual
Review |
Advent User Group
(AUG) Regional Meeting |
Oct 2009 |
Chicago, IL |
Using Advent
Software in a
Compliance Annual
Review |
| Investment Adviser Association |
April 2009 |
Webcast |
Compliance Programs for Smaller Advisers |
| IA Week/IAA Compliance Summit |
March 2009 |
Washington, DC |
Compliance Program Testing (Small Size Firms) |
| IA Week |
Feb 2009 |
Webcast |
Effective and Workable Forensic Testing |
| IA Week |
Sep 2008 |
Philadelphia, PA |
Code of Ethics and the SEC's Focus on Insider Trading |
| Advent Software, Inc. |
Sep 2008 |
Las Vegas, NV |
Utilizing Advent Products for SEC Compliance |
| IA Week Webcast |
June 2008 |
Webcast |
How to Conduct Efficient & Compliant Annual Reviews |
| ACA Webcast |
June 2008 |
Webcast |
Best Practices for GIPS Policies and Procedures |
| IA Week/IAA Compliance Summit |
March 2008 |
Washington, DC |
CCO Best Practices: Firm's AUM $1-10 billion |
| ACA Spring Compliance Conference |
March 2008 |
Scottsdale,
AZ |
Performance Advertising and GIPS Compliance |
