Investment Adviser Compliance

Evaluating, Upgrading and Documenting Compliance Practices in Preparation for Your Annual Review

Tuesday, January 24, 2006

About

It's time for the Annual Review…
Will your compliance policies and procedures meet SEC standards?


The compliance challenges for investment advisers have increased dramatically over the past year. The SEC has raised the bar with higher expectations, and companies must now establish that they have a thorough system of compliance in place. The Annual Review looms large for investment adviser companies, and those not ready for the April deadline risk SEC discipline, costly litigation – and maybe worse.

To guide you through this new and challenging environment, American Conference Institute'sInvestment Adviser Compliance publication will provide you with the tools you need to develop a compliance strategy that will keep your company ahead of the curve – and in good standing with the SEC. A faculty of industry leaders have provided you with practical guidance on:*
  • How to give the SEC what it wants in your Annual Review
  • Implementing a compliance process that identifies all material conflicts of interest
  • Defining the duties and minimizing the liabilities of your Chief Compliance Officer
  • Shaping compliant and cost-effective record keeping policies
  • Engaging in marketing efforts that meet NASD and AIMR standards
  • Preparing for an SEC exam
Coming Soon! Email Tina Key, Head Librarian at publications@americanconference.com to be the first to know when this publication becomes available.

Contents & Contributors

About

It's time for the Annual Review…
Will your compliance policies and procedures meet SEC standards?


The compliance challenges for investment advisers have increased dramatically over the past year. The SEC has raised the bar with higher expectations, and companies must now establish that they have a thorough system of compliance in place. The Annual Review looms large for investment adviser companies, and those not ready for the April deadline risk SEC discipline, costly litigation – and maybe worse.

To guide you through this new and challenging environment, American Conference Institute'sInvestment Adviser Compliance publication will provide you with the tools you need to develop a compliance strategy that will keep your company ahead of the curve – and in good standing with the SEC. A faculty of industry leaders have provided you with practical guidance on:*
  • How to give the SEC what it wants in your Annual Review
  • Implementing a compliance process that identifies all material conflicts of interest
  • Defining the duties and minimizing the liabilities of your Chief Compliance Officer
  • Shaping compliant and cost-effective record keeping policies
  • Engaging in marketing efforts that meet NASD and AIMR standards
  • Preparing for an SEC exam
Coming Soon! Email Tina Key, Head Librarian at publications@americanconference.com to be the first to know when this publication becomes available.

Contents & Contributors


Coming Soon! Email Tina Key, Head Librarian at publications@americanconference.com to be the first to know when this publication becomes available.


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