Description
This course is designed to equip investment adviser representatives with the knowledge required to understand and prepare for the examination requirements of their firm. Emphasis is placed on the regulatory expectations that investment adviser firms must meet during examinations conducted by the SEC and state securities regulators.
Participants will review the SEC’s current exam priorities—which include cybersecurity, supervisory oversight, and robust documentation practices—as well as state-specific findings from state securities regulators. The course covers key areas such as internal controls, compliance policies and procedures, recordkeeping, conflict-of-interest management, and the role of supervisory review. The objective is to help representatives identify gaps in their firm’s current practices, implement best practices for exam readiness, and ultimately reduce the risk of noncompliance.
Learning Objectives
Upon completing this course, participants will be able to:
- Understanding of the Investment Adviser Examination Process: Understand the typical process for an investment adviser examination and certain best practices.
- Identify Key Focus Areas: Describe the SEC’s exam priorities—such as cybersecurity, supervisory procedures, and documentation—and the main areas of concern highlighted in NASAA’s exam findings.
- Evaluate Internal Controls: Assess the importance of strong internal controls, effective compliance policies, and comprehensive recordkeeping practices in meeting regulatory requirements.
- Implement Best Practices: Develop strategies and remediation plans to address potential weaknesses in a firm’s examination readiness program.
- Enhance Supervisory Oversight: Understand the critical role of supervisory review in maintaining a robust compliance framework and mitigating regulatory risks.
- Prepare Effective Documentation: Recognize the need for clear, detailed, and current documentation that supports compliance with both SEC and state regulatory standards.
Instructor(s)
Bryan Hill, President of RIA Compliance Consultants, Inc.
Jarrod James, Senior Vice President of RIA Compliance Consultants, Inc.
Continuing Education
IAR CE: RCC intends to apply with NASAA for one hour of IAR CE; however, RCC has not yet submitted this course to NASAA for approval as an IAR CE Course and can offer no guarantees that it will be approved.
If this course is approved by NASAA for IAR CE, there are several additional requirements before you are eligible to receive credit:
- Login – You must be logged in during the live presentation under your email address. You cannot be logged in under someone else’s email address.
- View Entire Live Presentation – You are required to watch the entire live presentation the course. If you do not watch the entire live presentation, you will have to watch the recorded version in its entirety.
- Attendance Codes – As you watch the live presentation, you will receive two attendance codes, each containing three alphanumeric characters. Save these codes. You will need to enter the full six-character attendance code prior to accessing the final quiz.
- Purchase CE Course
- If the course is approved by NASAA for IAR CE and you purchased this webinar on an a la carte basis, you will then need to request a course discount code from RCC to utilize at https://www.CE4Advisers.com .
- If you are attending this course as part of an Annual Compliance Program package of RCC, you will need to purchase the IAR CE Course at https://www.CE4Advisers.com or use a course discount code provided under your firm’s Annual Compliance Program package. Please note that note only certain ACP packages include course discount codes.
- IAR Acknowledgement – Sign the IAR CE Acknowledgement & Attestation.
- Final Quiz – You must complete each lesson and receive a score of 70% on the final quiz to receive IAR CE credit (assuming the course has been approved by NASAA). You are only allowed three attempts on the final quiz.
- Survey. You have to answer a survey on the course and instructor.
NASAA Disclaimer
NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.
Important Disclosures
Please carefully review the following disclosures and limitations of this course.
- Although the sponsor of this course, RIA Compliance Consultants, Inc. (“Sponsor”), is an affiliate of a law firm and Sponsor may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, Sponsor is not a law firm and does not provide legal services or legal advice. A consulting relationship with Sponsor does not provide the same protections as an attorney-client relationship.
- This course is offered for educational purposes only and should not be considered an engagement with the course instructor or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. To these educational materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
- Information provided during this course is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. The course instructor and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
- To the extent that this course description or the course itself includes reference to a pending enforcement action or a consent order, please understand that the course instructor and Sponsor have not not verified the accuracy of the securities regulator’s complaint, order or other statements, and the course instructor and Sponsor are not offering any opinion whether the allegations made by the securities regulator in such enforcement action are accurate.
- The course instructor and Sponsor are not be under an obligation to advise you of any regulatory developments or subsequent changes to educational material presented in this course.
- There is no guarantee or promise that concepts, opinions and/or best practices discussed in this course will be favorably received by a regulator or result in a certain outcome in adversarial proceeding.
- Communication with the course instructor is not protected from discovery by third-parties during litigation or regulatory proceedings. Please keep questions during this course in a hypothetical form.
- Reviewing the slides and/or attending this course does not create a consulting engagement with RIA Compliance Consultants, Inc.
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