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Investment Advisor Compliance Tiers I and II - On-site Course
This two-day course will enable participants to:
- Recognize and apply the features and characteristics regarding the 1940 Investment Advisors Act (the Advisors Act)
- Identify and apply the basic provisions enforced by the SEC-FINRA as they apply to Investment Advisors
- Assess the interaction between the product provider, regulatory agencies and Investment Advisors
- Develop an understanding regarding the impact to business units (operations) in light of Investment Advisor Compliance requirements
- Describe how to implement a comprehensive compliance program to prevent, detect and correct violations of the Federal Securities Laws
Who should attend?
Compliance Managers at Mutual Fund and other buyside firms
- Overview of the Federal Investment Acts & Applicable Laws
- The 1940 Investment Advisors Act Requirements
- The Basic Registration Process
- Compliance Fundamentals
- Day One-Tier One Review
- Regulatory Filings and Reports
- Disclosure Controls and Procedures
- Internal Control and Risk Management
Participants of this program will receive 14 CPE credits.
Financial Markets World - Leading Financial Training
Financial Markets World (FMW) is a leading provider of financial training to the global financial community. FMW offers cutting-edge training courses that cover the breadth of the global financial services industry, and address current industry requirements. All of FMW's training...
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