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Common Compliance Deficiencies for Investment Adviser Representatives 05-14-2024

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Common Compliance Deficiencies for Investment Adviser Representatives
Presented by Michelle Atlas-Quinn, J.D., AdvisorLaw
Michelle Atlas Quinn

This educational program, led by compliance lawyer Michelle Atlas-Quinn, provides a comprehensive guide for understanding and addressing critical compliance issues. 

The program is structured into four parts:

Understanding SEC and NASAA Examinations: This section provides an overview of the roles and objectives of the SEC and NASAA in their examinations. It emphasizes the importance of compliance for investment advisers and highlights common focus areas such as fiduciary responsibilities and disclosure practices.

Key Compliance Deficiencies: A detailed exploration of fiduciary obligations, disclosure and transparency, compliance programs, and custody of client assets. This part delves into common pitfalls, case studies on deficiencies, and best practices for maintaining compliance programs.

Practical Compliance Strategies: The final section presents practical strategies for implementing effective compliance controls, including techniques for monitoring and reviewing compliance, and preparing for SEC examinations. It emphasizes the roles of compliance officers and the importance of thorough documentation and record-keeping.

Overall, the program aims to equip Investment Adviser Representatives with the necessary knowledge and tools to navigate and adhere to compliance requirements effectively.

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