Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

Tuesday, April 7, 2015
01:00 PM - 03:00 PM Eastern Daylight Time

Investment Management associate Jack O'Brien will co-present with Bill Cavell of NRS on this webinar, presented by National Regulatory Services.

After attending this course, attendees should be able to: 

  • Comply with the custody rule amendments and employ custody best practices to meet new anti-fraud prohibitions
  • Be conversant with the newly adopted pay-to-play rule to avoid illegal and unethical consequences that affect investors and the firm’s sustainability
  • Integrate solicitor and proxy voting rule requirements with the firm’s compliance program to help establish full and fair disclosure
  • Monitor regulatory changes as they occur
  • Pinpoint the SEC areas of concern that should drive required written compliance policies and procedures