Description:

This basic-to-intermediate online course of study provides an overview of key sections supporting rules of the Investment Advisers Act of 1940. Our session’s goal is to provide a summary of important 1940 Act concepts and how to apply them to the establishment of an effective compliance program and your policies and procedures. Our session will cover such key areas as compliance program requirements, books and records, conflicts and disclosures, anti-fraud rules including advertisements, custody, trading, proxy voting and solicitors among others. Industry best practices and recent practical tips will also be provided. Attendee questions are encouraged during the presentation.

For whom:

Designed to enhance risk management practices and the professional competency of advisory professionals with legal, compliance, management or audit responsibilities, this online session is appropriate for those new to the field as well as those who want a concise refresher course with some new guidance tips.

Learning Objectives:

1. Understand the structure and components of the Investment Advisers Act of 1940

2. Gain a working knowledge of the most important Advisers Act sections and applicable rules

3. Acquire practical tips for implementing and supervising Advisers Act and rule requirements
    

Pre-requisites for participation:

No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, esp. Sections 202 (definitions), 204-2 (books & records) and 206 and related rules (prohibited transactions).