SEC Rule 206(4)-7 – The Heart of an Investment Adviser’s Compliance Program

Date: 
August 30, 2017 - 10:00 am
Type: 
Webcast
Division: 
FCA (UK) Authorization
Speaker(s): 
Andrew Petillon, Crystal Christian

Join us on Wednesday 30th 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 discuss Rule 206(4)-7 also known as the “Compliance Program Rule.” Topics discussed will include:

  • History of Rule 206(4)-7
  • Three main elements of Rule 206(4)-7 – CCO, Policies & Procedures and the Annual Review
  • SEC expectations for CCO qualifications and how to meet those expectations
  • SEC expectations for Policies &Procedures and how to address those expectations
  • Demystifying the Annual Review of Compliance Program
  • Rule 206(4)-7 expectations for compliance training and compliance testing
  • CCO liability for violating Rule 206(4)-7