6-Hour Program

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Overview

Why You Should Attend

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.

At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers.  Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.  The program will also look at particular issues raised in connection with broker-dealers offering of advisory services.

A distinguished faculty will offer insights into recent developments, including the SEC’s adviser exam program and recent enforcement cases.

What You Will Learn

  • Who are the regulators and how do they interact?
  • What lessons can be learned from recent enforcement actions against advisers?
  • What are the SEC’s 2015 exam priorities related to advisers?
  • How does an adviser register with the SEC?
  • What determines whether an adviser is SEC-registered or state-registered?
  • What does an adviser’s fiduciary duty entail?
  • What is the status of the SEC’s Fiduciary Duty Rulemaking?
  • How are conflicts of interest resolved?
  • What rules apply to adviser advertising?
  • What is the role of the adviser’s Chief Compliance Officer?

Who Should Attend

Attorneys and business professionals seeking to understand investment adviser regulation.  Additionally, the program provides a refresher to those already working in the investment adviser industry.

Credit Details