Live Webinar:
Year-End Compliance Review for Investment Advisers
Wednesday, December 6, 2017
2:00 - 3:00 PM EST
Our goal is to help investment advisers
understand their annual requirements. During this session, we will discuss the
following:
- Evaluate compliance with 2017 year-end action items;
- Review compliance with annual testing requirements or the 206(4)-7 annual review; and
- Discuss trending industry topics and recent SEC priorities including custody, Form ADV Part 1 new requirements, and past/current exam priorities.
CPE Credits: 1.0, Group-Live, Program Level: Basic
NCS Regulatory Compliance is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org CPE Credits: 1.0, Group-Live, Program Level: Basic
