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Investment Advisor Compliance Tiers I and II - On-site Course

Financial Markets World Inc.
Training overview
2 days
Next start date: Inquire for more information - United States of America
On-site / Company-specific

Course description

Course description

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

Training Content

  • 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.


Please contact Financial Markets World to inquire about pricing.

About supplier

Financial Markets World

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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