Standard Tuition $400 US
Senior Fellow Rory Cohen, JD, Partner, Mayer Brown
Over the last few years, the asset management industry has experienced significant regulatory and structural changes. The SEC has increased its focus on the private fund industry since private equity funds and hedge funds were required to register as investment advisers pursuant to Dodd-Frank. The SEC is constantly updating its inspection strategies with respect to private funds, and the enforcement actions in both the private equity and hedge fund space focusing on conflicts of interest and disclosure creates a framework for asset managers to consider in reviewing their legal and compliance obligations.
The Speaking Faculty, comprised of recent SEC and NFA examination and audit candidates shall deliver exclusive insights regarding:
• the most recent Exam tools, techniques and technologies
• recent examination experiences,
• best practices for preparing for and managing the SEC and NFA examination
• latest Examination priorities and areas of focus
The student will master the following:
• Define and distinguish different types of Examinations
• Comprehend Regulatory Staff preparations for each type of Inspections or Audit
• Identify the underlying purpose for various requests for information.
• Recognize the impact of examination and enforcement priorities
• Based upon recent Examinations – Upgrade compliance controls, testing, reviews and reporting
• Effectively manage the Examination, e.g., interaction between firm personnel and Exam Staff
• Prioritize deficiencies and key elements of an effective response to the Examination Staff.
Senior Fellow from Practice:
- Rory Cohen, JD, Partner, Mayer Brown
- Beth Haddock, JD, Managing Director, Head of Institutional Compliance, Guggenheim Investments
- Tanya Kerrigan, JD, General Counsel and CCO, Boston Advisors
- Dianne Mattioli, JD, CCO, RCSI-Group
- Mark Polemeni, JD, CCO and Associate General Counsel, Citadel Investment
- John Roth, JD, LLM, General Counsel and CCO, Venor Capital Management
- Jeffrey Schultz, JD, Chief Legal Officer and CCO, Phoenix Investor Adviser
Credit Hours: 2
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information
Credit Hours: 3
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information
Course ID Number: 8601
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Please Note: The State Bar of 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.
*RCA will apply for credit upon request. Louisiana and New Hampshire: RCA will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: 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.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New 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.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. 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.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: 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.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: 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.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
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.