Foreword
No doubt you built your firm’s compliance program to withstand the past few years of regulatory upheaval. But how often do you really revisit the nuts and bolts holding it all together so well?
AIMA’s Back-to-Basics webinar series is designed to take a fresh look at core compliance components. This series partners with noted industry experts to delve into what you need to consider – or what you might do differently, and why – when addressing a wide variety of compliance requirements and related issues. Whether it is a new view into your old Form ADV, or how to protect against perennial Insider Trading concerns while courts consider new definitions, we have you covered.
Links and details to upcoming webinars are below, as are replays of prior events. And, if there is something you would like us to cover that is not listed, please let us know!
Upcoming Webinars
Replay
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The Whats, Whys, and Hows of a Comprehensive SEC Adviser Annual Compliance Review 
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8 May 2025
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Revisiting the SEC Code of Ethics Rule
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22 July 2025 Session Sponsor: |
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What Your Form ADV is Saying About You (and Who is Listening)
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23 July 2025 Session Sponsor: |
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MNPI, Insider Trading, and What You Can Do to Stay Out of Trouble
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30 July 2025 10:00AM - 11:00AM ET Session Sponsor: K&L Gates |
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Your Fiduciary Duty and the Regulatory Expectations for Managing Conflicts
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7 August 2025 Session Sponsor: |
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Back to Basics: Trading Practices, Recordkeeping, and the Art of Never Letting Go
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August 13, 2025 Session Sponsor: |
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Back to Basics: Fiduciary Duty, Allocations, and Why “Fair” isn’t Always Equal Coming soon |
Thursday, August 14, 2025 Session Sponsor: |