10 Key SEC Compliance Topics

August 02, 2017 - 10:00 am
FCA (UK) Authorization
Andrew Petillon, Crystal Christian

ACA's Summer School series is back! This series of complimentary webcasts is targeted toward compliance professionals in the UK and Europe with an interest in learning more about the U.S. regulatory regime for SEC registered advisors and managers, as well as those trading in U.S. markets.

Join us on Wednesday 2nd August at 3:00pm BST/ 10am EST for a webcast with Andrew Petillon, Senior Principal Consultant at ACA Compliance Group and Crystal Christian, Consultant at ACA Compliance Group which will provide you with an overview of SEC rules and expectations for ten core focus areas of Registered Investment Adviser compliance. Topics will include:

  • Portfolio Management
  • Code of Ethics
  • Advertising
  • Trading
  • SEC Filings
  • Custody
  • Electronic Communications
  • Fees and Expenses
  • Books and Records
  • 206(4)-7- the “Compliance Program Rule”