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.