InstructorTerri Hays
TypeOnline Course
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Tuition Options


PracticeEdge Elite™

Standard Tuition $400

Senior Fellow Matthew Eisenberg, JD, Partner, Finn Dixon & Herling

This course provides a general introduction to compliance process and practice for investment advisers required to be registered with the U.S. Securities & Exchange Commission (“SEC”). It has been developed for chief compliance officers, compliance directors and other compliance personnel of investment advisers, that have been tasked with developing, implementing and/or overseeing their firms’ compliance programs. It may serve as a general “roadmap” for inexperienced or less experienced compliance persons and a review of ivestment adviser regulation “basics” for experienced compliance persons.


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Students shall learn the following within this Course:

    • Development / utilization of more sophisticated risk-focused tools and techniques.
    • How are such tools and techniques impacting regulatory examinations?
    • Impact on who gets examined.
    • Ability of regulators to process data.
    • Increasing examination and enforcement cooperation among regulators.
    • Impact of new industry reporting – e.g., Form PF.
    • Evolving regulatory approach to enforcement.
    • Examination-related initiatives – late 2013 / 2014.
    • Highlights of examination results of new registrants.
    • Primary compliance deficiencies.
    • Primary reasons for commencement of enforcement actions.
    • Impact of new data submissions – e.g., Form CPO-PQR.
    • Insider trading / use of expert networks.
    • Valuation practices / hard to value assets.
    • Custody.
    • Audit deficiencies.
    • SEC Rule 206(4)-7.
    • Marketing practices.
    • Impact of recent changes to Regulation D.
    • Conflicts of interest.
    • Business continuity.
    • Broker-dealer issues / transaction-based compensation.

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Senior Fellow:

Matthew Eisenberg, JD, Partner, Finn Dixon & Herling

Guest Lecturers:
Patricia Cushing, National Futures Association 
Carlo di Florio, Financial Industry Regulatory Authority 
Michael Sakala, EY
Catherine Smith, Guidepoint Global


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Accreditation Information

CLE Information

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

CPE Information

Credit Hours: 3.5
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

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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.