The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.

Course Description: For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recent regulatory trends and enforcement actions. Given these trends, advisers need to be particularly concerned about the accuracy, quality, and completeness of the […]

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”

Course Description coming soon

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.

Course Description: This course is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Whether you are contemplating a compliance position or have recently assume a role in compliance, this course will help introduce the structure of the SEC, federal and state investment adviser regulation, and key issues and […]

Course Description: How does an adviser determine if it is obtaining best execution? Each firm must determine the answer for itself based on a variety of objective and subjective criteria. During this course our instructors will review the July 11, 2018 Risk Alert and take a deep dive into the factors that constitute best execution […]