From the program: Fundamentals of Investment Adviser Regulation 2014
Recorded on: Jul. 17, 2014
Taken from the Web Program Fundamentals of Investment Adviser Regulation 2014 recorded July, 2014 in New York.Lecture Topics [01:21:07]Regulation of Advisers (Part III): Compliance; Recordkeeping and Exams; Trends and Developments [01:21:07]
The Advisers Act’s recordkeeping requirements
The SEC’s 2014 Exam Program
Review of recent relevant enforcement activity
Current initiatives The purchase price of this segment includes ...