Tuesday, June 23 2010
Guest Speaker: Arthur Daret, Manage Service Consultants of Netropole Inc.
Topic: Security Strategies for Investment Advisors - Improving security and privacy of your firm's data
Website: http://www.netropole.com/
5630 NE MLK Bvd
Portland, OR 97211
503-241-3499 (ph) (call for Fax)
Listen to Webinar Recording
Tuesday, March 30, 2010
Guest Speaker: Susan Wheeler, Account Executive of Smarsh Inc. will be presenting.
Topic: Compliance in 2010: Exploring Electronic Communication
Website: http://www.smarsh.com/
Email: info@smarsh.com
Listen to Webinar Recording
PowerPoint Presentation
921 SW Washington Street, Suite 540
Portland, OR 97205
866-SMARSH-1 (866-762-7741)
503-946-5980 (outside U.S.)
971-998-9967 fax
Speaker bio: Susan currently serves as an account executive at Smarsh, with a focus on regulatory compliance and legal risk management technology solutions and best practices for email management. Prior to joining Smarsh, Susan served as Director of Business Development for a leading legal hold and discovery workflow software provider.
Tuesday, November 10, 2009
Guest Speaker: Thomas Rausch, CPA, CFP, AIFA Compliance Consultants, LLC
Topic: Building a better compliance system; using SEC methodology to develop and tune your system of internal control.
Listen to Webinar Recording
Building a Better Compliance System
September 22, 2009
Guest Speaker: Tina L. Mitchell, CEO and President of Dynamic Compliance Consulting, LLC
Topic: How to Survive an SEC Audit
Bio: Tina Mitchell Bio
May 19, 2009
Guest Speaker: Les Abromovitz, Attorney & Sr. Consultant of National Compliance Services, Inc.
Topic: Don't let your website entangle you in compliance problems/How to avoid internet advertising that becomes a web of deceit.
Bio: Les Abromovitz Bio
April 21, 2009
Guest Speaker: Tina Mitchell, CEO & President of Dynamic Compliance Consulting LLC
Topic: Best execution for Investment Advisors
Bio: Tina Mitchell Bio
Best Execution Article written by Tina Mitchell
Listen to Webinar Recording
March 31, 2009
Guest Speaker: Steve Finnern, VP/Sales & Operations for Smarsh, Inc
Topic: Email Archiving for Regulatory Compliance
Bio: Steve Finnern Bio
Listen to Webinar Recording
January 30, 2009
Guest Speaker: Bryan Hill, President of RIA Compliance Consultants, Inc.
Topic: SEC Exam Priorities of Investment Advisors
Bio: Bryan Hill
December 12, 2008
Guest Speaker: Chet Hebert, owner of The Compliance Department Inc.
Topic: IARD Renewals
November 20, 2008
Guest Speaker: Joe Carney, Member of Carney Gluntz & Associates LLC
Topic: Part 1: Issues and Development in Custody and Possession of Customer Funds or Securities for Federally Registered Investment Advisers. Part 2: Update on Codes of Ethics for Investment Advisers.
Carney, Gluntz & Associates LLC
jdc@jdcarney.com
(440) 249-0860
Bio: Joe Carney Bio
October 31, 2008 Advisory Webinar
Guest Speaker: Chet Hebert, President of The Compliance Department, Inc.
Topic: The State of Current Regulations - What to Expect in 2009
The Compliance Department
88 Inverness Circle E. Ste F-104
Centennial, Colorado 80112
chebert@thecompliancedepartment.com
1-866-903-6760
September 9, 2008 Advisory Webinar
When: Tuesday, September 9, 2008Guest Speaker: Don Whalen, CFP & Co-Founder of Spectrum Input, LLC, makers of PreciseFP
Topic: Demonstration of PreciseFP, a new online client questionaire for data collection, processing and storage.
August 26, 2008 Advisory Webinar
Guest Speaker: Don Whalen, CFP & Co-Founder of Spectrum Input, LLCTopic: From the Makers of PreciseFP, Practice Management Tools for Client Data Collection
More Info
Listen to Webinar Recording
April 22, 2008 Advisory Webinar
Guest Speaker: Judy Gross of JG Advisory Services LLC.
Topic: Topics in Training for Investment Advisers. In association with Judith Gross, Esq. of JG Advisory Services.
Website: http://www.jgadvisory.com/
Professional Biography
JG Advisory Services LLC Promo
Press Release
JG Advisory Presentation 2008 (PowerPoint)
Recommendation (Page 49 of Report)
Listen to Webinar Recording (Recording ID: 7N5JD8)
March 18, 2008 Webinar
Guest Speaker: Linda Lubitz Boone, The Lubitz Financial Group and IPS AdvisorPro Software
Topic: How to Build and Improve my Practice by Using Investment Policy Statements
Website: http://www.ipsadvisorpro.com/
Professional Resume of Linda Lubitz Boone
Press Release: Cornerstone Revolutions, LLC, Spotlights one of "America's Best Financial Advisors" in March Webinar on Investment Policy Statements
Listen to Webinar Recording (Recording ID: T8RMTD)
February 19, 2008 Webinar
Guest Speaker: Thomas Rausch, Compliance Consultants, LLC Topic: Preparing for an SEC Exam - Policies, Procedures, Internal Controls & Risk Perspectives
Website: http://www.compliance-consultantsonline.com
Download Webinar (Zip File)
September, 2007 Webinar
Guest Speaker Dennis Gibb of Sweetwater Investments speaking on the topic "A New Model for Advisor Compensation" (PowerPoint)
Guest Speaker Tom Rausch spoke on the topic "Preparing for a Regulators Exam" (Flash Recording)
