This webinar is intended
to be an introduction to the practical aspects of being a
SEC-registered investment adviser and/or a FINRA broker-dealer. The
presenters will discuss basic requirements and the practicalities of
being supervised by the SEC and/or FINRA. The Broker Dealer segment
will include suitability, advertising, sales activity, outside
business activity/personal securities transactions and the CMA
process. The Investment Advisor segment will include code of
ethics, advertising, custody, Form ADV and policies.
The program will start at 12:00 noon on Thursday, April 20, 2017,
and run for 90 minutes with corresponding MCLE credit.
Panelists: Michael J. Quinn, Partner, K&L Gates; Paul Douglas,
Senior Compliance Officer, Crescent Capital Group; Natalie Maniaci,
Counsel, Los Angeles Capital Management; and David Mathews, General
Counsel, Altegris.
Register Now