6-Hour Program

See Credit Details Below


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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.

Why You Should Attend

Legal and compliance personnel at investment advisers are dealing with a challenging and dynamic regulatory landscape, including a comprehensive new rule governing marketing activity, ongoing exam and enforcement scrutiny and new proposed rules dealing with cybersecurity and private funds.  All in all, 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, including model-based programs. 

At this program, attendees 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

After completing this program, participants will be able to:

  • Know who the regulators are and how they interact
  • Discuss the lessons that can be learned from recent enforcement actions against advisers
  • Better understand how the SEC’s new marketing rule impacts adviser advertising and solicitation activity
  • List the SEC’s 2023 exam priorities related to advisers
  • Recognize how advisers need to respond to cyber breaches if the SEC’s proposed cyber rule for advisers is finalized  
  • Know how an adviser registers with the SEC
  • Better understand what determines whether an adviser is SEC-registered or state-registered
  • Describe an adviser’s fiduciary duty
  • Summarize how conflicts of interest managed and disclosed

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

Prerequisites: An interest in investment adviser issues.

Advanced Preparation: None

Credit Details

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