Topics
- An Introduction to the Advisers Act and the Role of the Compliance Officer
- An Introduction to FINRA Regulations and the Role of the Compliance Officer
- Professional Development for Compliance Professionals
- Fundamentals of Compliance and Best Practices for Private Funds and Hedge Funds
- The Basics of Underwriting
- Establishing Effective Records Management in Accordance with Rules and Using Technology
Who should Attend
Hedge Fund/Private Fund personnel, Investment Advisers, Dealers, Brokers and Investment Companies.
