Investment Advisor Compliance Essentials

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