Investment Adviser - Compliance Training
Demand for SCA’s training programs is increasing as advisers recognize the importance of training to the integrity of their overall compliance program.SCA provides training in person, via conference call and via web-cast. Although SCA will customize programs to meet your firm's particular needs, the following are examples of training areas for investment advisers:
- Registration Training including lARD;
- Supervision;
- Privacy Policy;
- Best Execution Monitoring;
- Advertising Including Performance Reporting;
- Trading Practices;
- Conflicts of Interest;
- Insider Trading;
- Books and Records Requirements for Investment Advisers;
- Training for Compliance Staff;
- Business Recovery Planning;
- Mutual Fund and Variable Product Issues;
- New SEC initiatives - Proxy Voting, Custody, Hedge Fund Sweeps;
- Hedge Fund Regulation and Compliance;
- Investment Advisory Contracts;
- Anti-Money Laundering Requirements for Hedge Funds and Investment Advisers; and
- Maximizing Your Understanding of the Advisers Act.
