Investment Adviser Compliance & its Lessons for Broader Financial Institution Compliance
LAW BK 928
This course introduces the foundational components of an investment advisers compliance program. The course will cover the Investment Advisers Act of 1940, the role of the SEC and will touch on the following areas: registration, books and records, fiduciary duty, Code of Ethics, Form ADV, advertising, guideline monitoring, allocation, best execution, error resolution, insider trading, and proxy voting. Emphasis on compliance methods and skills, including review of regulatory rules, compliance case discussions, and building and monitoring surveillance activities, will offer a broader perspective on general financial institution compliance. Students should come away with a working knowledge of how a financial institution compliance department operates.