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Fundamentals of Investment Adviser Regulation 2015

On-Demand Web Programs  On-Demand Web Programs    

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 ...

Featured Faculty/Authors
Clifford E. Kirsch

Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP

Tanya E. M. Wong

Tanya E. M. Wong ~ Director of Government Benefits, Legal Services NYC - Legal Support Unit

Kenneth N. Nigon

Kenneth N. Nigon ~ RatnerPrestia