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Compliance and Exams; Ethics for Adviser Lawyers

Recorded on: Jul. 24, 2012
Running Time: 01:00:38

Full Transcript:


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Taken from the Web Program Fundamentals of Investment Adviser Regulation recorded July, 2012 in New York.

Lecture Topics  [01:00:38]

Compliance and Exams; Ethics for Adviser Lawyers  [01:00:38]
  • Self-reporting
  • Whistleblowers rules
  • CLO/CCO liability
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Fundamentals of Investment Adviser Regulation 2012: Compliance and Exams: Ethics for Adviser Lawyers
    John H. Walsh, Steven A. Yadegari
  • Adviser Compliance Programs
    Clifford E. Kirsch
  • Legal/Compliance Officer Liability
    Clifford E. Kirsch
Speaker(s)
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Steven A. Yadegari ~ Executive Vice President and General Counsel, Cramer Rosenthal McGlynn, LLC
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