InstructorTerri Hays
TypeOnline Course
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Tuition Options


PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Robert Van Grover, JD, Partner, Seward & Kissel

The SEC recently filed a wave of enforcement actions against several Investment Advisers under the “Compliance Program Initiative.”

The “reputational risk” of this initiative includes significant attrition of fund investors or clients, and may prove catastrophic to the Fund Manager or Investment Adviser.

The SEC’s Compliance Program Initiative requires the filing of an enforcement action against Fund Managers and Investment Advisers for failing to rectify compliance deficiencies.

Under this theory, potential liability exists for the “CEO” and CCO of Fund Manager or Investment Adviser.

In their commentary, the Course Senior Fellow and Speakers highlight the importance of:

  • Properly implementing policies and procedures
  • Disclosure of compliance deficiencies
  • Calculating and reporting performance and fees
  • Conflicts of interest
  • Marketing Materials
  • Billing Practices
  • Conducting comprehensive Annual Compliance Reviews

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Students shall learn the following within this Course:

  • Enforcement Priorities of SEC and CFTC
  • What are the regulatory concerns associated with high speed trading?
  • Is the new emphasis on admitting liability good public policy; will fewer cases be settled?
  • Rule Making Process
  • What is the current climate for new rule making initiatives? Is there regulatory exhaustion as a result of Dodd-Frank rule making?
  • What are the remaining areas of unfinished business under Dodd-Frank?
  • JOBS Act:
  • Role of Data in informing regulation
  • Changes in Market Structure; Innovation and Product Development
  • Cross border/global regulation
  • Examination Program
  • FSOC; Volcker Rule
  • Fund Governance
  • What governance challenges are presented by the offering of alternative registered funds to retail investors.

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Senior Fellow from Practice:

  • Robert Van Grover, JD, Partner, Seward & Kissel

Guest Lecturers: 

  • Paul Atkins, JD, CEO, Partner, Patomak Global Partners, Former SEC Commissioner
  • Daniel Roth, CEO & President, National Futures Association
  • Troy Paredes, JD, Founder, Parades Strategies LLC, Former SEC Commissioner 

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Accreditation Information

CLE Information

Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 2
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

Course ID Number:  9184

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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.