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Conferences and Speeches

PLI’s Fundamentals of Investment Adviser Regulation 2014

Wednesday, July 16, 2014
01:00 AM ET

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.

At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.

A distinguished faculty will offer insights into recent developments, including the SEC’s adviser exam program and recent enforcement cases.

What you will learn

  • Who are the regulators and how do they interact?
  • What are the SEC’s 2014 exam priorities related to advisers?
  • How does an adviser register with the SEC?
  • What determines whether an adviser is SEC-registered or state-registered?
  • What does an adviser’s fiduciary duty entail?
  • What is the status of the SEC’s Fiduciary Duty Rulemaking?
  • How are conflicts of interest resolved?
  • What rules apply to adviser advertising?
  • What is the role of the adviser’s Chief Compliance Officer?
  • How do the SEC and state regulators conduct inspections?

Steve Stone will present on Regulation of Advisers (Part II): Brokerage and Trading Practices.