INVESTMENT COMPANY ACT AND INVESTMENT ADVISERS ACT COMPLIANCE
This advanced course delves into the intricacies of the Investment Company Act of 1940 (“ICA”) and the Investment Advisers Act of 1940 (“IAA”). Through a combination of lectures, case studies, participants will enhance their understanding of these laws and their compliance requirements, allowing them to better navigate the complex landscape of investment fund and adviser regulations.
Course Objectives:
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Understand the historical and policy reasons behind the ICA and IAA.
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Identify the primary structures and provisions of both Acts.
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Analyze key compliance requirements and potential pitfalls.
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Recognize the roles of key entities and the relationships between them.
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Apply knowledge of both Acts in real-world scenarios, emphasizing compliance and risk management.