- 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
Learning Objectives
- Upon completion of this course, you'll be able to:
- Identify key regulatory expectations and compliance obligations for private funds, including marketing practices, conflicts of interest, and expense allocation.
- Examine the evolving landscape of cybersecurity, business continuity, emerging technologies, and crypto-assets, and how these developments impact compliance and risk management frameworks.
- Evaluate the current standards of conduct—including Regulation Best Interest, fiduciary duty, Form CRS, ESG investing, and valuation—to ensure alignment with industry best practices and regulatory requirements.
Major Topics
- 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
