ACA Summer School is a series of complimentary webcasts 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.
This webcast discussion will include:
Review of the reporting requirements of Rule 204A-1
A discussion of “Beneficial Ownership” and “Control” with regard to employee accounts
SEC expectations with regard to personal securities trading by employees
A discussion of case studies and managing objections by employees