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New to Investment Adviser Compliance

April 29, 2019
2:30 PM - 4:30 PM EDT
View On-Demand

Course Description:

This session is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Our panelists will make sense of the structure of the SEC, state investment adviser regulation, and will review the key issues and common obstacles that you will encounter when designing and implementing your compliance program.

After attending this course you will be able to:

  • Begin (or broaden) your knowledge of the basics of investment adviser regulation
  • Identify the areas that must be addressed in your compliance program
  • Analyze the roles that you, your fellow compliance professionals, and your chief officers play in the compliance process

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

Instructional Method: Group Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required

Advance Preparation: None

CA MCLE = 16.5 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 17.5 general, 2.0 ethics (based on a 50-minute hour)
CPE = 19.5 in the Regulatory Ethics field of study (based on a 50-minute hour)