Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
INVESTMENT ADVISERS ACT - RULES & REGULATIONS
Title
Rule 0-2 -- General Procedures for Serving Non-Residents
Rule 0-3 -- References to Rules and Regulations
Rule 0-4 -- General Requirements of Papers and Applications
Rule 0-5 -- Procedure with Respect to Applications and Other Matters
Rule 0-6 -- Incorporation by Reference in Applications
Rule 0-7 -- Small Entities under the Investment Advisers Act
Rule 202(a)(1)-1 -- Certain Transactions not Deemed Assignments
Rule 202(a)(11)(G)-1 -- Family offices
Rule 202(a)(30)-1 -- Foreign private advisers
Rule 203-1 -- Application for Investment Adviser Registration
Rule 203-2 -- Withdrawal from Investment Adviser Registration
Rule 203-3 -- Hardship exemptions
Rule 203(l)-1 -- Venture capital fund defined
Rule 203(m)-1 -- Private fund adviser exemption
Rule 203A-1 -- Eligibility for SEC Registration; Switching To or From SEC Registration
Rule 203A-2 -- Exemptions from Prohibition on Commission Registration
Rule 203A-3 -- Definitions
Rule 204-1 -- Amendments to Application for Registration
Rule 204-2 -- Books and Records to Be Maintained by Investment Advisers
Rule 204-3 -- Delivery of brochures and brochure supplements
Rule 204-4 -- Reporting by exempt reporting advisers
Rule 204(b)-1 -- Reporting by investment advisers to private funds
Rule 204A-1 -- Investment Adviser Codes of Ethics
Rule 205-1 -- Definition of 'investment performance' of an Investment Company and 'investment record' of an Appropriate Index of Securities Prices
Rule 205-2 -- Definition of 'specified period' Over Which the Asset Value of the Company or Fund under Management is Averaged
Rule 205-3 -- Exemption from the Compensation Prohibition of Section 205(a)(1) for Investment Advisers
Rule 206(3)-1 -- Exemption of Investment Advisers Registered as Broker-Dealers in Connection with the Provision of Certain Investment Advisory Services
Rule 206(3)-2 -- Agency Cross Transactions for Advisory Clients
Rule 206(4)-1 -- Advertisements by Investment Advisers
Rule 206(4)-2 -- Custody of funds or securities of clients by investment advisers
Rule 206(4)-3 -- Cash Payments for Client Solicitations
Rule 206(4)-5 -- Political contributions by certain investment advisers
Rule 206(4)-6 -- Proxy voting
Rule 206(4)-7 -- Compliance Procedures and Practices
Rule 206(4)-8 -- Pooled investment vehicles
Rule 222-1 -- Definitions
Rule 222-2 -- Definition of 'client' for Purposes of the National de Minimis Standard
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