5b. IA – Creating Effective Oversight Structures for Investment Advisers (Intermediate)

This session will address the need for an effective supervision process for investment advisers. The discussion will focus on factors specific to the business model and personnel that may favor a centralized or decentralized structure. Effective supervisory controls, monitoring and technology needs will also be discussed.  Through case studies and polling questions, we will discuss ways to improve your compliance program regardless of the size of and structure, to meet your firm’s needs.

Learning Objectives:

  • Explore the responsibilities required by Rule 206(4)-7 for supervision and growing CCO liability
  • Discuss how to design and implement effective supervisory controls tailored to the business model and considerations for monitoring of the supervisory system
  • Consider methods (centralized v. decentralized) and techniques on how to effectively supervise  electronic communications, advertising, and recordkeeping and related regulatory considerations  in a COVID-19 remote environment
  • Hear how to integrate and effectively utilize technological solutions in the supervisory structure


Sponsored by:

Intermediate                        Program Level: Date: October 20, 2020 Time: 10:00 am - 11:15 am Jason Albino Michelle Jacko

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(860) 672-0843 info@nscp.org