About the Event

Some members have asked for help and input regarding SEC compliance topics like:

  • Annual Review

  • ADV

  • Compliance Training

  • Etc.

In order to cater to these needs, and in order to make your membership yet more valuable, SRIAA is very pleased to announce its first Annual Compliance Training.

 

June 5th, morning, Annual SRIAA Compliance Training


Dustin Milne (http://milnelegal.com) has agreed to hold this Compliance Training for SRIAA Members. The training will take about 2 hours. It will qualify as the annual training that your staff needs to conduct, and it will be validated by SRIAA accordingly.

 

Participation fee for Members: CHF 100.-

We do still have some space left. Therefore, we have decided to open the event up to non-members for a nominal fee of CHF 250.-. We want to build the interest in SRIAA and our membership numbers. We would love to see some non-member SEC-registered advisors and others interested in the topic attend the event. It will be offer invaluable information and a great opportunity to get to know SRIAA better.

Instead of making all arrangements yourself, we welcome you and your team members to this general compliance training, which can then be complemented / rounded off with the company specifics of your internal procedures and training as needed.

 

Agenda points covered will include the following:

 

  • Chief Compliance Officer

  • Compliance Manual

  • Conflicts of Interest

  • Duty to Supervise

  • Personal Account Dealings

  • SEC Trading Blotter

  • Trade Errors

  • Participating Affiliates

  • Annual Review

  • Marketing

  • Advisory Fees

  • Business Continuity Plan

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