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Laying the Foundation

Recorded on: Jul. 24, 2012
Running Time: 01:16:56

Full Transcript:


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

Lecture Topics  [01:16:56]

Laying the Foundation  [01:16:56]
  • Who is an adviser?
  • Who are the regulators?
  • The different models for providing advisory services
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Introduction to the Investment Advisers Act of 1940
    Clifford E. Kirsch
  • Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers 2011
    Kenneth J. Berman

Presentation Material

  • Introduction to the Investment Advisers Act of 1940
    Clifford E. Kirsch, Bruce W. Maisel
Speaker(s)
Clifford E. Kirsch ~ Sutherland
Bruce W. Maisel ~ Vice President & Chief Compliance Officer U.S. Private Client Group, BMO Harris Bank
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