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Critical Skills for High-Performance Compliance Professionals: Closing the Circle

June 6, 2019
10:45 AM - 12:45 PM PDT
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This is an in-person course being taught as part of the Scottsdale Investment Adviser Compliance Symposium.

Course Description:

Closing the Circle: Matching Advertising, Contracts, Disclosures and Procedures

Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh. In practice, as these documents are often created by different persons with different sets of goals, and may be updated at different times, there may be points on which they contradict each other. What should you do when you find areas of disagreement among these key documents? In this interactive session, panelists and attendees will examine some common (and not-so-common) examples of material discrepancies and review the various steps that may be used to correct them.

After attending this course, attendees should be able to:

  • Identify discrepancies when reviewing key documents
  • Analyze possible correction strategies to determine which is best for your firm
  • Create procedures to prevent discrepancies from occurring in the first place

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

Suggested Skill Level: Basic

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 to become familiar with the structure and terms.

Advance Preparation: None

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