Compliance Mandates Beyond the Advisers Act: ERISA Compliance, Anti-Money Laundering, Privacy and Safeguarding Client Information  

While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect an advisory firm in significant ways that must be considered. This course surveys mandates that every advisory firm needs to understand and comply with:
After completing this course you should be able to:

1) Identify sources and implement systems that alert advisory firms to industry requirements beyond the Advisers Act

2) Demonstrate an understanding of an investment adviser’s special fiduciary responsibilities under ERISA

3) Assess how anti-money laundering rules affect your firm

4) Understand Regulation S-P requirements concerning privacy notice delivery and be able to create firm-wide policies and procedures concerning privacy practices