Certificate in The Essentials of Investment Compliance

• Introduction to Investment Compliance: Understanding the regulatory landscape, the role of a compliance officer, and the importance of investment compliance in financial institutions.
• Compliance Risk Management: Identifying, assessing, and mitigating compliance risks, including regulatory, reputational, and financial risks.
• Code of Ethics and Conduct: Developing and implementing a code of ethics and conduct for investment professionals, addressing conflicts of interest and personal trading policies.
• Compliance Monitoring and Testing: Designing and implementing a compliance monitoring and testing program, including surveillance, audits, and reviews.
• Regulatory Filings and Reporting: Preparing and submitting regulatory filings and reports, including Form ADV, Form PF, and other SEC and FINRA filings.
• Anti-Money Laundering (AML) and Know Your Customer (KYC): Understanding and implementing AML and KYC policies and procedures, including customer identification programs, suspicious activity reporting, and transaction monitoring.
• Marketing and Advertising Review: Reviewing and approving marketing and advertising materials for compliance with regulatory requirements, including the use of social media.
• Compliance Training and Communication: Developing and delivering compliance training and communication programs for investment professionals and other employees, including annual compliance certifications.
• Investment Company Compliance: Understanding and complying with the Investment Company Act of 1940 and its rules, including registration, disclosure, and reporting requirements.
• Broker-Dealer Compliance: Understanding and complying with the Securities Exchange Act of 1934 and its rules, including registration, supervision, and reporting requirements.