Investment Advisor Compliance Program Focus

Knowing and understanding the compliance fundamentals relevant to an Investment Advisor’s daily responsibilities is not an option in the current regulatory environment. Whether you are an Investment Advisor compliance novice or a veteran regarding the growing and vast compliance requirements, the following sessions are a practical, comprehensive opportunity to be on top of your compliance game.

Course Objectives

By the end of the course, participants will be able to:

• Discuss Rule 206(4)-7 history, requirements and best business practices for an effective written compliance program.
• Identify 2016-2017 compliance challenges review of current hot topics:
  • Privacy, Cyber-Security and Business Continuity
  • Insider Trading
  • Fiduciary Duty and management of ERISA clients
  • Pending FinCEN Anti-Money Laundering requirements
• Discuss how to conduct a Gap review and methods of implementing new regulations into your compliance program
• Review SEC enforcement and pending court cases aligned with hot topics
• Identify industry trends and future regulatory and compliance issues.
• Assess how to handle pending regulations

• Review appropriate methods of internal control and risk management
• New proposed SEC Best Interest Standard

Suggested Prerequisites:

• Investment Advisor Compliance Essentials or equivalent knowledge

Program Level: Intermediate

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7