Events

Presentations & Publications

Conferences & Presentations

Come see ASG Team members present at one of the following events:

2017

  • October 16-18, 2017 - 2017 NSCP National Conference (Washington, DC) – When is an Advertisement Deemed to be Misleading?
  • April 24, 2017 - NSCP Spring Conference (Newport Beach, CA) – DOL Fiduciary Rule Implementation Forum
  • March 1, 2017 - charlesSchwab Knowledge Forum (Newport Beach, CA) (San Diego, CA) - A Compliance Update: Practical Compliance Solutions for 2017
  • February 28, 2017 - charlesSchwab Knowledge Forum (San Diego, CA) - A Compliance Update: Practical Compliance Solutions for 2017
  • February 8, 2017 - charlesSchwab Knowledge Forum (San Francisco, CA) - A Compliance Update: Practical Compliance Solutions for 2017
  • January 26, 2017 - charlesSchwab Knowledge Forum (Los Angeles, CA) - A Compliance Update: Practical Compliance Solutions for 2017

2016

  • October 17-19, 2016 - 2016 NSCP National Conference (Washington, DC) – Cybersecurity for Small Firms
  • June 9-10, 2016 - IA Compliance: Full 360° View West (San Francisco, CA) – Strategies to Identify Conflicts of Interest and Sidestep Trouble
  • March 7, 2016 - NSCP Spring Conference (San Francisco, CA) - Cybersecurity and the Unseen Enemy
  • March 2, 2016 - charlesSchwab Knowledge Forum (San Diego, CA) - A Compliance Update: Practical Compliance Solutions for 2016
  • February 25, 2016 - charlesSchwab Knowledge Forum (Newport Beach, CA) - A Compliance Update: Practical Compliance Solutions for 2016
  • February 3, 2016 - charlesSchwab Knowledge Forum (San Francisco, CA) - A Compliance Update: Practical Compliance Solutions for 2016
  • January 26, 2016 - charlesSchwab Knowledge Forum (Los Angeles, CA) - A Compliance Update: Practical Compliance Solutions for 2016

2015

2014

  • December 9, 2014 - IAWatch (Webinar) - Perfecting Your Annual Review: Peer-Proven Best Practices, Testing Takeaways and Templates
  • October 20 -22, 2014 – NSCP National Conference (Washington, DC) – CyberSecurity
  • June 25, 2014 – ByAllAccounts (Webinar) – Are You Prepared for an SEC Exam? Need-to-Know Tips and Best Practices for Keeping Your Firm Compliant
  • June 12-13, 2014 – 2nd Annual IA Compliance Best Practices Summit West 2014 (Las Vegas, NV) – SEC Exams: Top Focus Areas and Practical Guidance for Exam Preparation
  • March 13, 2014 – NSCP 2014 West Coast Regional Meeting (San Francisco, CA) – IA – Regulatory Exams
  • February 4-5, 2014 – charlesSchwab Knowledge Forum (Newport Beach & San Diego, CA) – A Compliance Update: 2014 Practical Compliance Solutions Based on Lessons Learned in 2013
  • January 21, 2014 – IAWatch (Webinar) – Using a Compliance Calendar: Peer-Shared Best Practices to Accomplish Your Regulatory Duties

2013

  • October 21 -23, 2013 – NSCP National Meeting (Washington, DC) – The “New” SEC and CFTC Identity Theft Rules
  • October 3-4, 2013 – IA Fall Compliance Best Practices Summit (Los Angeles, CA) – Before, During & After an SEC Exam: Practical Tips to Ace Your Next Exam
  • June 5-6, 2013 – charlesSchwab Knowledge Forum (Newport Beach & San Diego, CA) – A Compliance Update: The Effect of Regulatory Changes for Investment Advisers
  • June 3-4, 2013 – NSCP 2013 West Coast Regional Meeting and Labs (Los Angeles, CA) – IA – Regulatory Exams
  • May 21-22, 2013 – The Advisor’s Resource CCO Spring Training & Batting Practice (Houston, TX) – Use of Social Media and Technology
  • February 27, 2013 – CFA Society Orange County (Newport Beach, CA) – 2013 Regulatory Update

2012

  • October 21-23, 2012 – NSCP National Meeting (Washington DC) – Spotting and Dealing with Technology Risks (Lab)
  • September 18, 2012 – IA Watch (Webinar) – Compliance Best Practices: Building Program Efficiencies Through the Use of a Compliance Calendar
  • March 15-16, 2012 – IA Watch Compliance Best Practices Summit 2012 (Washington, DC) – Last Minute Advice to Satisfy New Form ADV Disclosure Demands
  • March 15-16, 2012 – IA Watch Compliance Best Practices Summit 2012 (Washington, DC) – Protect Your Client’s Privacy: What You Must Do, Plus Best Practices
  • March 12-13, 2012 – NSCP West Coast Regional Meeting (San Francisco, CA) – Conducting Your Annual Review (Lab)
  • March 12-13, 2012 – NSCP West Coast Regional Meeting (San Francisco, CA) – Using Technology for Compliance (Lab)
  • January 31, 2012 – CFA Society Orange County (Newport Beach, CA) – Regulatory Reform 2012: Implications for Investment Advisers

2011

  • November 10, 2011 – Breard & Associates Seminars 2011 (Newport Beach, CA) – Compliance Update & Social Media Compliance
  • November 8, 2011 – Southern California Compliance Group (Newport Beach, CA) – Large Trader Registration and Reporting Requirements & Changes to Form ADV, Part 1
  • October 17-19, 2011 – NSCP National Meeting (Baltimore, MD) – Investment Adviser Compliance Programs for Very Small Firms
  • September 21, 2011 – IA Watch (Webinar) – Achieving Regulatory Success with Best Practices Built Around the Use of a Compliance Calendar
  • March 21-22, 2011 – IA Watch Compliance Best Practices Summit 2011 (Washington DC) – Chart Your Regulatory Success with a Year-Round Compliance Calendar
  • February 28 – March 1, 2011 – NSCP West Coast Regional Meeting (Los Angeles, CA) – Managing Conflicts of Interest (Lab)

2010

  • November 10, 2010 – CFA Society of Orange County (Newport Beach, CA) – Regulatory Reform: The New Landscape for 2011 and Beyond
  • November 1-3, 2010 – NSCP National Meeting (Baltimore, MD) – Professional Development for Compliance Professionals
  • October 21, 2010 – Southern California Compliance Group (San Diego, CA) – Information Security Policies and Procedures Including Electronic Communications
  • February 22, 2010 – NSCP West Coast Regional Meeting (San Francisco, CA) – Information Security Policies and Procedures Including Electronic Communications
  • February 11, 2010 – Advisor Solutions Group, Inc. (Webinar) – Complying with the Investment Adviser Custody Rule: Amended Custody Rule 206(4)-2

2009

  • December 1, 2009 – Advisor Solutions Group, Inc. (Webinar) – The “Why, What, and How” of Best Execution
  • October 4-7, 2009 – NSCP National Meeting (Philadelphia, PA) – Investment Adviser Compliance Testing (Lab)
  • August 11, 2009 – IA Week (Webinar) – Ideas to Overcome Today’s Top Challenge for Compliance Programs: How to Do More with Less
  • June 24, 2009 – Advisor Solutions Group, Inc. (Webinar) – How Investment Advisers Can Create Compliant Advertisements
  • March 16, 2009 – NSCP West Coast Regional Meeting (Los Angeles, CA) – Sampling Techniques and Compliance Testing

2007

  • October 24, 2007 – NRS Fall Compliance Conference (Huntington Beach, CA) – Privacy and Safeguarding Client Information

2006

  • January 30, 2006 – NSCP West Coast Regional Meeting (San Francisco, CA) – Investment Adviser Hot Buttons

2005

  • October 24-26, 2005 – NSCP National Meeting (Washington DC) – Investment Adviser: Practical Implementation of Policies & Procedures (Small Firm)

Publications

Read publications authored by ASG Team members: