Fundamentals of Investment Adviser Regulations 2014

Fundamentals of Investment Adviser Regulations 2014

Why you should attend

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.

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.

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 are the SEC’s 2014 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 resolved?
  • What rules apply to adviser advertising?
  • What is the role of the adviser’s Chief Compliance Officer?
  • How do the SEC and state regulators conduct inspections?

Who should attend

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

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact or call (800) 260-4PLI.

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All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

7/16/2014 9:00 AM - 7/16/2014 5:00 PM
Columbus Bar Association
175 South Third Street
Suite 1100
Columbus, Ohio 43215

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