Description:

As the SEC has recognized, the path to compliance for small advisers presents special challenges and incorporates different metrics and resources than is the case for larger investment advisers with more compliance assets. This seminar will identify the particular challenges faced by smaller advisers and, more importantly, offer workable solutions to such issues as adopting and implementing policies and procedures that are tailored to smaller firms, segregation of duties and designation of supervisors, training employees and keeping up with the growth of assets, employees and new products.

For whom:

Small or limited-resource advisers in a firm of approximately 25 or fewer employees, typically a compliance staff of one (CCO) having only one place of business and offering separate account services to retail clients. Such a firm would typically have no more than one or two portfolio managers.

Learning Objectives:

1. How to assess your role and responsibilities at your firm

2. How to improve your compliance processes and better utilize available resources

3. Tips and recommendations to better manage compliance as a CCO who may wear many hats.
   
    

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