Just as a skilled surfer anticipates the perfect wave, an investment adviser firm’s seasoned executives and compliance professionals must prepare for the impending regulatory swell. In 2024, SEC registered investment advisers may find themselves facing a potentially significant wave of new rules and regulatory changes. To help you nail this regulatory wave and avoid washing out, we proudly present out course: “Riding the Regulatory Wave: Navigating the Potential 2024 Surge for SEC Registered Investment Advisers.”
In the ever-evolving ocean of investment advisory compliance, adaptation and knowledge are your surfboard, and this course is your introductory guide to helping you master the waves of change. Let’s dive into how this course wll equip you to conquer these forthcoming challenges.
- Examination of Proposed Rules: Delve into currently proposed rules for federally registered investment advisers that are under consieration by the SEC Commissioners. Understand the basic requirements of these proposed rules, explore issues raised during the public comment process, and identify critical dates when the SEC plans to take rulemaking action.
- Review of Recently Finalized Rules: Gain a general understanding of those SEC rules for investment advisers that were approved and finalized in 2023, providing insights into their rationale, impact, and practical implications for investment adviser firms.
- Applicable Compliance Dates: Learn about the compliance timeliens associated with the SEC’s recently enacted rules for investment advisers to ensure your firm is well-prepared to meet its regulatory obligations.
This course should be considered an introduction to the proposed or recently finalized rules and will cover the following key topics:
I. Recently Finalized Rules for Investment Advisers
- Overview of the regulatory changes
- General requirements of each new SEC rule for Investment Advisers
- Implications for investment adviser firms
- Applicable compliance dates and deadlines
- Action steps
II. Proposed Rules
- Rationale for the proposed rule
- Major requirements
- Analysis of issues raised during the public comment process
- Examination of the SEC’s timeline for rulemaking action
- Strategies & Best Practices for adapting to potential changes
III. Interactive Q&A
- Pose questions and seek clarifications on complex regulatory matters
Who Should Attend?
This course is tailored for owners, senior executives, chief compliance officers, and compliance staff of investment adviser firms registered with the SEC or operating as exempt reporting advisers (ERAs). It is essential for professionals who seek to maintain a strong compliance culture, adapt to regulatory changes, and ensure their firms’ continued success in an evolving regulatory landscape.
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.
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