2007 Investment Adviser Risk Management
The conference will address the critical area of Investment Adviser Risk Management. CCO’s will hear the SEC’ views, exam findings and recommendations. They will learn how to identify, manage and disclose conflicts of interest with emphasis on drafting effective Form ADV disclosure that protects clients and the firm. In addition, advertsing issues, in particular performance advertising will be addressed to assist firms in mitigating risk in this area through proper disclosure. You will hear experts explain the process of testing compliance programs including forensic, periodic and transactional tests that can be applied in the areas of portfolio management processes, trading practices, disclosure accuracy, recordkeeping and valuation of client holdings.
The conference will address the critical area of Investment Adviser Risk Management. CCO’s will hear the SEC’ views, exam findings and recommendations. They will learn how to identify, manage and disclose conflicts of interest with emphasis on drafting effective Form ADV disclosure that protects clients and the firm. In addition, advertsing issues, in particular performance advertising will be addressed to assist firms in mitigating risk in this area through proper disclosure. You will hear experts explain the process of testing compliance programs including forensic, periodic and transactional tests that can be applied in the areas of portfolio management processes, trading practices, disclosure accuracy, recordkeeping and valuation of client holdings.
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