Presentations & Publications
Conferences & Presentations
▲Come see ASG Team members present at one of the following events:
- 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
- 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
- December 8-9, 2015 - NRS Managing SEC Compliance (London, United Kingdom) - Cybersecurity, Technology, Privacy and Vendor Due Diligence: The Role of Compliance
- November 10, 2015 - Southern California Compliance Group (Newport Beach, CA) – Advertising Rules/GIPs
- November 1-4, 2015 - 2015 NSCP National Conference (National Harbor, MD) – Cybersecurity for Small Firms
- October 13-15, 2015 - NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference (San Diego, CA) – Social Media, Marketing and Advertising Practical Evaluation Workshop
- June 12, 2015 - IA Watch 3rd Annual IA Compliance Full 360° View West (San Francisco, CA) – Cybersecurity: Tackling the Key Issues in a Heightened Regulatory Environment
- March 12, 2015 - NSCP Anaheim Regional Conference (Anaheim, CA) – Cybersecurity is More Than a Buzzword
- March 12, 2015 - NSCP Anaheim Regional Conference (Anaheim, CA) – Supervision vs. Compliance Oversight
- March 12, 2015 - NSCP Anaheim Regional Conference (Anaheim, CA) – Behavioral Ethics – A Deeper Understanding of Moral Judgment
- March 10, 2015 – charlesSchwab Knowledge Forum (Los Angeles, CA) – A Compliance Update: 2015 Practical Compliance Solutions Based on Lessons Learned in 2014
- February 25-27, 2015 - IA Watch 17th Annual IA Compliance Conference (Washington, DC) - Before: Jumpstarting Your Pre-Exam Preparation
- February 25-27, 2015 - IA Watch 17th Annual IA Compliance Conference (Washington, DC) - Reducing the Fear of Cyber Piracy
- February 11-12, 2015 – charlesSchwab Knowledge Forum (Newport Beach & San Diego, CA) – A Compliance Update: 2015 Practical Compliance Solutions Based on Lessons Learned in 2014
- January 16, 2015 – All Star Financial Group (Las Vegas, NV) – Compliance Update
- 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
- 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
- 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
- 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)
- 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
- 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
- October 24, 2007 – NRS Fall Compliance Conference (Huntington Beach, CA) – Privacy and Safeguarding Client Information
- January 30, 2006 – NSCP West Coast Regional Meeting (San Francisco, CA) – Investment Adviser Hot Buttons
- 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:
- “Compliance Solutions for Mobile Device Computing: A Practical Guide for Compliance Officers,” by Krista S. Zipfel, CFA, Wolters Kluwer – Practical Compliance & Risk Management for the Securities Industry, January – February 2012.
- “The “Why, What and How” of Best Execution,” by Tina Mitchell and Krista Zipfel, NSCP Currents, July/August 2008.