Learn how to meet the day to day requirements and responsibilities for the ever changing and on-going regulatory challenges for investment advisors.
Course Objectives
By the end of the course, participants will be able to:
- Review the historical background of financial service law & regulation
- Discuss the 1940 Investment Advisors Act (the Advisors Act) requirements as they pertain to covered activities of an advisory firm
- Identify State and Federal registration obligations
- Explain basic regulatory principles including:
- Fiduciary Duty
- Code of Ethics & Conflict of Interest
- Anti-Fraud Rule
- Compliance Program Structure and Regulatory Enforcement Regime
- Review recent SEC cases to underscore current focus
- Describe industry trends and future regulatory & compliance issues.
- New proposed SEC Best Interest Standard
Suggested Prerequisites: None
Program Level:Foundational
Advance Preparation: None
Computers and Financial Calculators: N/A
Recommended CPE Credits: 7