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New to Investment Adviser Compliance

December 13, 2018
1:00 PM - 3:00 PM EST
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New to Investment Adviser Compliance

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 common obstacles encountered in administering a compliance program.

After attending this course you will be able to:

  • Formulate 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 compliance professionals and officers play in the administration of your compliance program and processes

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

Suggested Skill Level: Basic

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

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