Annual SRIAA Compliance Training
Time & Location
About the Event
A number of annual SEC compliance matters keep us all busy: Annual Review, ADV, Compliance Training, etc.
Some members have asked for help and input regarding these topics. In order to cater to these needs, and in order to make your membership yet more valuable, SRIAA is proud to present its first Annual Compliance Training.
The idea is that, instead of making all arrangements yourself, you will be able to send your team members for 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