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WC-2008-06-30   2008 Investment Management Compliance Testing Survey Report
WC-2006-11-30   ACA’s Mutual Fund Annual Compliance Review Survey Results - 2006
WC-2008-09-23   Adherence to GIPS and SEC Rules When Marketing
WC-2006-03-21   Advertising
WC-2007-12-11   An Adviser’s Guide to Surviving a SEC Exam
WC-2008-05-06   Basic 101 Investment Company Rules for Advisers to Mutual Fund Companies
WC-2008-12-11   Best Execution
WC-2008-06-03   Best Practices for GIPS Policies and Procedures
WC-2006-08-08   Beyond Funds: Wrap Fee Programs, Fee-Based Brokerage Accounts, and Multi-Style Portfolios
WC-2006-10-10   Books and Records, E-mails, and Business Continuity Plans
WC-2008-06-17   Broker Dealer Branch Office Examinations
WC-2008-11-19   Broker Dealer Rule Updates
WC-2008-02-12   Broker Dealer Supervisory Controls Testing and Reporting
WC-2009-02-03   Broker-Dealer Financial Reporting
WC-2009-03-24   Changes to GIPS® Specifically Related to Carve-outs
WC-2005-12-08   Code of Ethics
WC-2009-10-27   Communications with the Public
WC-2008-04-22   Compliance Risks Associated With Alternative Investments
WC-2008-11-12   Compliance Risks Associated With Fixed Income Securities
WC-2005-10-14   Complying with the Compliance Rule
WC-2006-07-11   Contracts and Form ADV
WC-2006-03-14   Custody
WC-2007-11-13   Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers
WC-2005-09-08   Email Retention and Electronic Recordkeeping
WC-2007   Entire 2007 Webcast Series
WC-2008   Entire 2008 Webcast Series
WC-2009   Entire 2009 Webcast Series at a 20% discount
WC-2006-06-20   ERISA Advisers
WC-2006-07-25   Everything Else
WC-2009-06-02   FINRA Hot Topics for 2009
WC-2007-04-10   Forensic Testing, Unplugged
WC-2009-03-17   Fund-of-Fund Managers & Other Advisers Investing in Private Funds: New Risks
WC-2008-09-16   Fundamentals of Broker Dealer Compliance
WC-2008-08-05   GIPS Compliance Best Practices for Users of Advent® Software
WC-2008-03-25   GIPS Compliance for Hedge Funds
WC-2009-07-16   GIPS® Compliance for Hedge Funds
WC-2006-04-25   Hedge Fund Advisers
WC-2007-07-10   How do Advisers Seek to Obtain Best Execution
WC-2005-06-09   How to Survive a SEC Inspection
WC-2007-02-13   Identifying Conflicts of Interests
WC-2006-02-07   Identifying Conflicts; Assessing Risks
WC-2008-01-29   Inside Look at SEC Enforcement Cases Brought Against Advisers in 2007
WC-2009-11-17   Insider Trading & Informational Barriers
WC-2009-01-27   Introduction to GIPS® Compliance and Verification
WC-2008-01-14   Investment Company Annual Compliance Review Survey 2007
WC-2007-08-14   It’s a Disaster….How do I Recover?
WC-2008-12-16   Latest GIPS Guidance and New Requirements for 2008 and 2009
WC-2009-11-03   Latest GIPS® Guidance and New Requirements for 2009 & 2010
WC-2005-08-11   Marketing and Advertising
WC-2009-08-11   Marketing by Investment Advisers
WC-2008-07-15   Marketing Series #1 - Hedge Fund Managers
WC-2008-08-12   Marketing Series #2 – Traditional Investment Advisers
WC-2007-09-11   Most Common Pitfalls Made by Advisers
WC-2006-11-28   Mutual Fund Advisers and Sub-advisers
WC-2009-09-01   Mutual Fund Distributors
WC-2009-02-24   New Form ADV Part 2
WC-2009-08-04   OATS & Trade Reporting for Broker-Dealers
WC-2007-10-09   Oops, A Trading Error….Now What?
WC-2006-04-04   Performance Advertising and GIPS
WC-2006-02-21   Personal Trading and Gifts
WC-2009-10-20   Portfolio Risk Management for CCOs
WC-2008-10-21   Providing Fund Attestations: What This Means to Advisers
WC-2006-12-12   SEC Examinations
WC-2009-06-23   SEC Examinations of Investment Advisers
WC-2009-03-03   Securities Lending
WC-2006-05-23   Selecting Brokers
WC-2009-04-07   Short Selling Rules and Related Issues
WC-2006-05-16   Small Advisers
WC-2009-07-21   Soft Dollars for Investment Advisers
WC-2006-02-14   The Compliance Program
WC-2007-01-09   The Future of Soft Dollar Practices
WC-2006-09-12   The Gotchas
WC-2007-05-08   The Rules of Marketing
WC-2007-01-25   The SEC’s New Focus on Inside Information
WC-2009-05-05   Tips for Marketing to Institutions/Consultants and Advertising from a GIPS® and SEC Perspective
WC-2009-09-22   Tips to Ensure Your Firm is GIPS® Compliant
WC-2005-07-14   Trading and Best Execution Compliance Issues
WC-2006-06-06   Trading and Errors
WC-2007-06-12   Understanding Fair Valuation and When it is Necessary
WC-2006-05-09   Valuation
WC-2009-04-28   Valuation for Complex or Illiquid Securities
WC-2008-03-04   Valuation of Securities
WC-2007-03-13   What’s in Your Code of Ethics
WC-2006-11-13   When There’s a Problem

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