Compliance Education & Training
In our experience, proper training is a critical tool in managing potential compliance risks. Consequently, we offer a wide variety of investment adviser and mutual fund compliance training programs tailored to meet each client’s specific needs.
Our program offerings include, but are not limited to, the following:
Adviser Training Programs
Investment Adviser Regulatory Overview
Marketing and Advertising Compliance
Trading Practices and Soft Dollars
Code of Ethics Requirements & Best Practices
Advisers Act Books and Records
SEC Filings and Updates
Advisers Act Compliance Seminar
Fund Training Programs
Mutual Fund Regulatory Overview
Sales and Distribution Requirements
Portfolio Guidelines and Affiliated Transactions
Mutual Fund Books and Records Requirements
Registration and Filing Requirements
Fund Valuation Compliance Requirements
Mutual Fund Compliance Seminar
Our Compliance Seminars are intensive training programs designed to provide a foundation for understanding the regulatory requirements governing investment adviser and mutual fund activities. Each seminar is approximately two days in length and provides a general overview of the applicable regulatory framework as well as more intensive coverage of key day-to-day requirements. These seminars are ideal for newly registered entities and for individuals with compliance responsibilities.
Combination Training Programs
Any of our training programs may be combined as necessary to meet your specific needs. Commonly combined offerings include our Regulatory Overview programs and our Marketing/Sales related programs. Combined programs provide cost-effective training opportunities for firms interested in coverage of multiple topics.
Other training programs may be available.