Fundamentals of Investment Adviser Regulation 2009 (Groupcast Location)
July 17, 2009 - July 17, 2009
Location
Pennsylvania Bar Institute
Philadelphia, Pennsylvania
USA
Description
The Madoff scandal and the current financial crisis has put the regulation of investment advisers under the microscope, as well as in the front page headlines. At this day-long program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.
Further, a distinguished faculty of practitioners and regulators, including current and former officials of the Securities and Exchange Commission and state securities regulators will offer insights into recent rulemaking including the new anti-fraud rule, new SEC Compliance Alert letters, and SEC guidance to assist advisers.
- Who are the regulators and how do they interact?
- What determines whether an adviser is SEC-registered or state-registered?
- What does an adviser’s fiduciary duty entail?
- How are conflicts of interest resolved?
- What rules apply to adviser advertising?
- What is the role of the adviser’s chief compliance officer?
- How do the SEC and state regulators conduct inspections?
Additional Information
Co-Sponsored by Pennsylvania Bar Institute
Attendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.
Organized by
Practising Law Institute
810 Seventh Avenue
New York, New York
USA
Contact
Phone: (800)260-4PLI
Email: info@pli.edu
Event's Website
