Investment Adviser Semi-Annual Update
December 10, 2009  1:00 p.m. – 3:00 p.m. (ET)

Course Description:

This course is a concise survey of current high-priority issues and recent developments affecting investment advisers. As new rules and guidelines are proposed and adopted, and the parameters and focus of the SEC examination program evolves, compliance professionals and management need to stay abreast of these fast moving developments and respond quickly to shifting SEC priorities. A team of compliance consultants will analyze these recent trends, explain the implications for investment advisers, and provide insights and tips for increasing and maintaining compliance best practices. Ample time will be allowed for attendees' questions and written material will be provided to support oral presentations.

Learning Objectives:

1. Become familiar with the compliance issues currently stamped "high-priority"

2. Determine which regulatory developments affect your firm

3. Develop risk management strategies that address SEC priorities

4. Learn from a live, instructor-led discussion of current issues to further your understanding of the Advisers Act and investment adviser compliance

5. Receive practical tips and recommendations to update your compliance program

For whom:

Designed to enhance risk management and the professional competency of advisory professionals with legal, compliance and management responsibilities, this online course provides convenient, time-effective training for professionals from both SEC and state-registered firms - those newer to the field as well as experienced practitioners. This course is designed to meet continuing education requirements for accountants, attorneys, certified financial planners, and Investment Adviser Certified Compliance Professionals.

Scope/purpose/pre-requisites for participation:

This intermediate-to-advanced level course of study, comparable to an upper-division baccalaureate level, examines regulatory developments and requirements for investment advisory compliance professionals with the goal of enhancing their professional competence. The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Investment Advisers Act of 1940.