D.E. Scott Investment Management Compliance ServicesD.E. Scott Investment Management Compliance Services

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

Compliance Seminars

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.