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Regulation of Advisers (Part III): Compliance; Recordkeeping and Exams; Trends and Developments (Includes Legal Ethics)

Recorded on: Jul. 18, 2013
Running Time: 01:12:44

Full Transcript:


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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 purchase price of this segment includes the following article from the Course Handbook available online:
  • Adviser Compliance Policies and Procedures
    Clifford E. Kirsch
  • The Broker-Dealer and Adviser Uniform Standard of Care (July 17, 2013)
    Clifford E. Kirsch, Issa J. Hanna
  • Legal/Compliance Officer Liability for Duty to Supervise
    Clifford E. Kirsch
  • Compliance and Exams for Investment Adviser Lawyers (July 17, 2013)
    Michael B. Koffler, Steven A. Yadegari
Speaker(s)
Michael B. Koffler ~ Sutherland
Steven A. Yadegari ~ Executive Vice President and General Counsel, Cramer Rosenthal McGlynn, LLC
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