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News August 15, 2005 Issue

Advertisement: Adviser Compliance Institute

 

 

 

 

Advertisement

 

 

ADVISER COMPLIANCE ASSOCIATES, LLC

 

announces the

 

ADVISER COMPLIANCE INSTITUTE

 

Strict regulatory changes have added to the numerous challenges already facing investment advisers. To develop and maintain an adequate compliance culture, firms need a clear interpretation of the SEC’s latest mandates, as well as the vision and expertise to create and implement a program that is customized to each adviser’s specific business model and strategy. To help investment advisers stay ahead of the dynamic regulatory learning curve, ACA is pleased to introduce the newly-created Adviser Compliance Institute (ACI).

 

ACI is a monthly webcast series hosted by ACA consultants and investment management insiders. Each live 60-minute session will focus on a specific area of compliance and include commentary from securities industry experts . Through the interactive presentation on a variety of topical compliance issues, ACI will serve to enhance your firm’s compliance program and educate your compliance professionals on SEC rules and industry best practices.

 

 

Each webcast costs $200.

All webcasts are 2:00 pm Eastern time.

Sign up for all four upcoming sessions for only $700!

 

 

Upcoming sessions:

 

• E-mail Retention and Electronic Recordkeeping — September 8, 2005

• Complying with the Compliance Rule — October 13, 2005

• Books and Records — November 10, 2005

• Code of Ethics — December 8, 2005

 

Archived sessions (available on demand):

 

• Marketing and Advertising

• Trading and Best Execution Compliance Issues

• How to Survive a SEC Inspection

• and more!

 

To register, go to www.advisercompliance.com/webcast.htm