Investment Adviser Exam Deficiencies in 2023 & Exam Priorities for 2024
This course will analyze some of the most common deficiencies from 2023 State Investment Adviser Examination Sweep of North America Securities Administrators Association (“NASAA”) and the 2024 investment adviser examination priorities of the U.S. Securities and Exchange Commission (“SEC”).
- Identify most common deficiencies for state registered investment advisers based upon the 2023 multi-state examination sweep;
- Understand SEC’s published 2024 examination priorities for federally registered investment advisers;
- Identify best practices for certain examination priorities
Who Should Attend?
Senior Executives, Chief Compliance Officers, Compliance Department Staff Members, Operation Staff Members, Supervisory Principals and Investment Adviser Representatives
This course will be delivered remotely in a live format and thereafter will be available as a recording. Participants will have the opportunity to ask questions of our instructors.
RIA Compliance Consultants, Inc. (“RCC”) intends to apply with NASAA for IAR CE. However, at this point, an application for IAR CE has not been submitted and/or has not been approved by NASAA. If this course is approved for IAR CE, the attendee must purchase separately (or receive from his or her firm) an IAR CE code from RCC and satisy a vaiety of other requirements.
NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.
Please carefully review the following disclosures and limitations of this course.
- Although the sponsor of this course, RIA Compliance Consultants, Inc. (“Sponsor”), is an affiliate of a law firm and Sponsor may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, Sponsor is not a law firm and does not provide legal services or legal advice. A consulting relationship with Sponsor does not provide the same protections as an attorney-client relationship.
- This course is offered for educational purposes only and should not be considered an engagement with the course instructor or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. To these educational materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
- Information provided during this course is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. The course instructor and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
- To the extent that this course description or the course itself includes reference to a pending enforcement action or a consent order, please understand that the course instructor and Sponsor have not not verified the accuracy of the securities regulator’s complaint, order or other statements, and the course instructor and Sponsor are not offering any opinion whether the allegations made by the securities regulator in such enforcement action are accurate.
- The course instructor and Sponsor are not be under an obligation to advise you of any regulatory developments or subsequent changes to educational material presented in this course.
- There is no guarantee or promise that concepts, opinions and/or best practices discussed in this course will be favorably received by a regulator or result in a certain outcome in adversarial proceeding.
- Communication with the course instructor is not protected from discovery by third-parties during litigation or regulatory proceedings. Please keep questions during this course in a hypothetical form.
- Reviewing the slides and/or attending this course does not create a consulting engagement with RIA Compliance Consultants, Inc.
Only logged in customers who have purchased this product may leave a review.