Standard Tuition $400 US
Senior Fellow Robert Van Grover, JD, Partner, Seward & Kissel
Section 206 of the Advisers Act requires every investment adviser to adopt and implement written policies and procedures reasonably designed to prevent violation, by the investment adviser and its supervised persons, of the Advisers Act and the rules that the SEC has adopted under the Advisers Act. While we tend to focus on keeping up new regulations, risk alerts, priorities, and news stories and hot topics, it is equally important to understand how to respond such events and developments and upgrade compliance policies and procedures in order to sustain a successful compliance program. This Course attempts to translate compliance priorities into practical and actionable guidance that can help improve an investment adviser’s compliance processes. This Course will serve as a forum for the panelists to share and discuss ideas and best practices for achieving this goal.
Students shall learn the following within this class session:
- Identifying general areas of concern for compliance processes
- Methods to improve process for obtaining uniformity in disclosures
- Steps to bolster controls related to the use of expert networks
- Action plans to enhance insider trading prevention practices
- Measures to take to foster a culture of compliance
- Tactics to enhance risk assessment initiatives
- Robert Van Grover, JD, Partner, Seward & Kissel
- Aaron Schlapoff, JD, Attorney Advisor, SEC
- Ken Robinson, CPA, CIPM, Director – Investment Performance Standards, CFA Institute
- Cathy Smith, JD, General Counsel, Guidepoint Global
- Mike Neus, JD, Managing Partner & General Counsel, Perry Capital
- Cynthia Marian, JD, LLM, Vice President, CCO and Deputy General Counsel, Tinicum
Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information
Credit Hours: 2
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information
Course ID Number: 9407
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.