Registrar

Advising the Adviser: Compliance and Enforcement under the Investment Advisers Act | L4867

This class will focus generally on investment adviser (IA) compliance with the federal securities laws and the Securities and Exchange Commission’s (SEC) role with respect to that compliance. We will focus on how to advise an IA with respect to SEC regulations, touching on topics such as an IAs role as a fiduciary and an IAs requirements with respect to marketing, best execution, and principal and cross trading. We will also focus on what’s necessary to establish and operate a robust IA compliance program.

Prerequisites: N/A
Credit Hours: 3
ULW: This course does not satisfy the Upper Level Writing requirement (ULW)


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