Webinars
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