Practical insights and best practices for organizing your private fund and/or broker-dealer to meet SEC regulatory compliance rules and regulations and how to prepare for an Exam
Learning Objectives
• Private Fund Compliance
• Marketing Practices
• Conflicts of Interest, Disclosures and Allocation of Expenses
• Cybersecurity and Business Continuity
• Emerging Technologies and Crypto-Assets
• ESG – Environmental, Social and Governance – Investing
• Standards of Conduct: Regulation Best Interest, Fiduciary Duty, Form CRS and Valuation
Major Topics
Practical insights and best practices for organizing your private fund and/or broker-dealer to meet SEC regulatory compliance rules and regulations and how to prepare for an Exam
