AIMA Webinar: Back to Basics: The Key to Crafting an Effective Compliance Program for SEC Exam Success

Now that the Private Fund Adviser rules (PFAR) have been vacated, fund managers can continue to focus on their existing, expansive compliance programs. This always is time well spent, but particularly now as many believe the SEC will use its existing authority to the fullest extent to examine for investment adviser compliance. If so, it’s time to go back to basics, revisiting the fundamental elements of a strong investment adviser compliance program.

Download our AIMA on-demand webinar that focuses on the core elements of SEC-registered investment adviser compliance programs. During the session, we discuss everything from evaluating portfolio management processes to proxy voting activity, verifying the accuracy of disclosures, advertising, and performance, tire-kicking the many books and records requirements, and of course a strong reminder of how and why firms should update their written policies and procedures. This discussion should help to guide fund managers as they enhance their compliance posture in order to successfully navigate SEC examinations.

Speakers: 

• Michael Barakat, Director, Investment Adviser Compliance — Weaver
• Becky Reeder, Partner-in-Charge, Alternative Investment Services — Weaver
• Moderator: Suzan Rose, Senior Advisory, Government & Regulatory Affairs — AIMA