1-Day Program

See Credit Details Below

Overview

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Investment Adviser Regulation 2018 has been approved for 7.5 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor.

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2018 enforcement and exam program.  The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures.

At the same time, the business landscape is dynamic with the emergence of digital advice, “break-away” broker dealers and continued innovation regarding advisory programs. 

At this year's program, you will get a solid foundation in the regulatory regime applying to investment advisers.  Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry. In addition to providing a solid foundation, the program will provide extensive discussion and analysis regarding “hot topics” facing advisers today.

A distinguished faculty will offer insights into recent developments, including the SEC’s adviser exam program and recent enforcement cases.

What You Will Learn

  • Who are the regulators and how do they interact?
  • What lessons can be learned from recent enforcement actions against advisers?
  • What are the SEC’s 2018 exam priorities related to advisers?
  • How does an adviser register with the SEC?
  • What determines whether an adviser is SEC-registered or state-registered?
  • What does an adviser’s fiduciary duty entail?
  • What is the status of the SEC’s Fiduciary Duty Rulemaking?
  • How are conflicts of interest managed and disclosed?
  • What rules apply to adviser advertising?
  • What is the role of the adviser’s Chief Compliance Officer?

Who Should Attend

Attorneys and business professionals seeking to understand investment adviser regulation, should attend this program.  Additionally, the program provides a refresher to those already working in the investment adviser industry.

Program Level: Basic

Intended Audience: Attorneys and business professionals seeking to understand investment adviser regulation, should attend this program.  Additionally, the program provides a refresher to those already working in the investment adviser industry.

Prerequisites: An interest in investment adviser issues.

Advanced Preparation: None

Credit Details