7c. IA – The Impact of State Rules on Federally Registered Firms (OPEN)

This session will focus on federally registered advisers with individual (retail) accounts. As the SEC’s concern for the general public investors grow, it becomes more important for federally registered advisers to better understand the individual investment marketplace at the state level. A NASAA representative and two state securities regulators will provide key insights on state […]

8c. IA – Understanding the Ever-changing Landscape of Alternative Investments

This session will explore the regulatory requirements, best practices and associated higher risk exposures faced by firms that utilize alternative investments for their advisory clients. The panel will discuss the various considerations for investment advisers wishing to incorporate non-traditional investments into the portfolios of their advisory clients. (Digital assets and ESG and will be covered […]

5d. IC – Investment Company Issues and Trends

In this advanced session, experienced fund compliance professionals will share how they are addressing certain key investment company topics and challenges. Learning Objectives: • Discuss current hot topics (i.e., fair valuation rule; derivatives rule; COVID post-mortem and future pivots) • Discuss best practices for new and emerging strategies (i.e., ESG Funds and adequacy of disclosures) […]

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