From the program: Fundamentals of Investment Adviser Regulation 2015
Released on: Jul. 29, 2015
Over the past few years, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program. The SEC has also set high expectations for advisers in identifying and responding to conflicts of interests.
In this program, you will get a solid foundation in the regulatory regime applying to investment ...