From the program: Fundamentals of Investment Adviser Regulation 2013
Recorded on: Jul. 18, 2013
Taken from the Web Program Fundamentals of Investment Adviser Regulation 2013 recorded July, 2013 in New York.Lecture Topics [01:12:44]Regulation of Advisers (Part III): Compliance; Recordkeeping and Exams; Trends and Developments (Includes Legal Ethics) [01:12:44]
The Adviser Act’s recordkeeping requirements
Code of ethics
Requirements regarding compliance programs and reviews
The SEC’s Exam Program
Current initiatives The ...