Standard Tuition $400 US
Senior Fellow Heather Traeger, JD, Chief Compliance Officer & Compliance Counsel, Teachers Retirement System of Texas
Social media is no longer an indulgence. Millions of people use social media platforms to obtain information about companies and trends, including investments. By using social networking services, investment advisers to private funds can manage their brand, publicly demonstrate knowledge of market sectors, and recruit top new talent. The perks of its use are clear. The potential perils are not always as easy to identify.
Students shall learn the following within this Course:
- Comprehensive Discussion and Analysis of the New “Risk-Focused” Examination Approach and Process
- How advertising rules under the Investment Advisers Act limit uses of particular social networking forums, such as LinkedIn and Twitter;
- The Social Media Alert issued by the SEC’s National Exam Program;
- Potential risks with respect to social networking communications by placement agents or “Finders”;
- The impact on an adviser’s ability to claim CFTC registration exemptions in order to avoid registration; and
- The potential privacy issues related to social media, including the risks of discoverability in litigation, increased vulnerability to malware and other intrusions, and the potential inadvertent disclosure of sensitive information.
Heather Traeger, JD, Chief Compliance Officer & Compliance Counsel, Teachers Retirement System of Texas
Catherine Courtney Gordon, JD, Senior Counsel, Chief Counsel’s Office, Division of Investment Management, SEC
Brian Guzman, JD, Partner & Counsel, Indus Capital Partners
James McGovern, JD, Chief Compliance Officer, Hutchin Hill Capital
John Roth, JD, LLM, General Counsel & Chief Compliance Officer, Venor Capital
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: 8550
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.