Description:

Large and small advisers alike are required to be in compliance with SEC and state regulations. The path to compliance for small advisers, however, is different than that for the large investment management firm with great resources. This seminar will identify the challenges faced by the small adviser and, more importantly, offer workable solutions to such issues as adopting policies and procedures that fit the firm, segregation of duties and designation of supervisors, training employees and keeping up with the growth of assets, employees and new products.
 

What You Will Learn:

How to assess your role and responsibilities at your firm
How to improve your compliance processes and better utilize available resources
Tips and recommendations to better manage compliance as a CCO who may wear many hats.
 

For whom:

Chief Compliance Officers and other individuals who interact with compliance
 

Pre-requisites for participation:

While no prerequisites are required, attendees will benefit if they have an awareness of the regulatory structure over investment advisers and possess a general understanding of the rules and regulations contained within the Investment Advisers Act of 1940