Investment Adviser Regulatory Update


Course Description:

This session will provide you with a virtual, real-time briefing on regulatory reform and other recent and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen. Recent and emerging trends in SEC inspections and enforcement will also be discussed.

Learning Objectives:

  • List the compliance issues currently stamped “high-priority” and determine which regulatory developments affect your firm
  • Apply practical advice on preparing for and grappling with today’s shifting regulatory environment and its uncertainties
  • Develop risk management strategies that address SEC priorities

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Advance Preparation: None

Pre-requisites for participation: The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Investment Advisers Act of 1940 and related rules.

Continuing Education Credits:

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP Credit: Pending