Description:

This program will identify and discuss investment adviser compliance items that should be part of the CCO’s year-end checklist for 2009. To help ring in the New Year, the speakers will also walk you through important compliance resolutions for 2010. An essential element of this process is developing a pro-active 2010 compliance calendar for the purpose of executing and documenting your firm’s supervisory procedures/compliance program.

For whom:

Chief Compliance Officers and others working in the compliance area, internal auditors, legal counsel, managers

Learning Objectives:

The turning of the calendar presents an excellent opportunity for mapping out monthly, quarterly, annual and other periodic compliance tasks, which include:

• IARD administrative functions
• Form 13F reports
• Form U4 amendments
• Employee certifications and acknowledgements
• Solicitors
• Records management
• Compliance training
• Action plan for annual review
• Code of ethics enforcement
• Calculation of assets under management
• Advertising reviews
• Form ADV reviews
• Updating IPS or client investment objectives and risk tolerances
• Testing of disaster recovery plan
• Vendors

These and other compliance resolutions for 2010 will be up for discussion during this practical nuts and bolts program.

Pre-requisites for participation:

No prerequisites are required. However, attendees can benefit by reviewing the Advisers Act of 1940 and the Investment Company Act of 1940 to become familiar with the structure and terms.