A comprehensive guide to the latest SEC inspection and enforcement initiatives for Investment Advisers, Chief Compliance Officers, Operational and Financial Staff.

Our expert instructors will provide guidance on the latest SEC “hot buttons” impacting investment advisers today, including:

• Soft Dollar Arrangements
  
• Effective Compliance Programs
  
• Portfolio Trading
  
• SEC Inspection Program
  
• Advertising Compliance
  
• Managing Conflicts of Interest
  
• Updating Form ADV Disclosure

With the changing nature of SEC routine inspections and heightened SEC scrutiny generally, this is a timely program
for all investment advisers and investment companies.

At this Workshop the senior legal faculty will walk you through all aspects of the compliance process, highlighting key
focus areas of the SEC including exams, special areas of priority, “red flags,” typical problems they find and how the
issues are resolved.

Don’t risk a costly mistake at a time when oversight is increasing. This hands-on workshop offers updates on leading
developments and SEC inspection/enforcement initiatives in every area of advisory regulation.

Attend the only comprehensive course to enhance your skills and learn what you need to know NOW to design and
operate an effective compliance program.