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Investment Adviser Regulatory Update

May 22, 2018
1:00 PM - 3:00 PM EDT
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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. Topics to be addressed include:

  • SEC Best Interest/Standard of Conduct Interpretation/Form CRS Proposals
  • SEC Enforcement Division’s Share Class Selection Disclosure Initiative and Recently Settled Cases
  • OCIE’s “Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers” Risk Alert
  • OCIE’s “Most Frequent Best Execution Issues Cited in Adviser Exams” Risk Alert
  • SEC’s Continued Examination and Enforcement Focus Areas
  • … and More

After completing this course you should be able to:

  • Use the update on and analysis of regulatory reform initiatives to help you and your firm prepare for a dynamic regulatory environment
  • Assess the potential impact of regulatory activity on investment advisers
  • Apply practical advice on preparing for and grappling with today’s shifting regulatory environment and its uncertainties
  • List the compliance issues currently stamped “high-priority” and determine which regulatory developments affect your firm
  • Develop risk management strategies that address SEC priorities

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

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

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.

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
Recommended CFP® Credit: 2