INVESTMENT ADVISOR REGULATIONS
This course is designed for legal professionals, financial analysts, and investment advisors aiming to deepen their understanding of the complex regulatory environment surrounding investment advisory services.
The course explores the laws, rules, and regulations at various jurisdictional levels, including international agreements, federal laws, state regulations, and self-regulatory organization rules. It emphasizes practical implementation, ethical considerations, compliance mechanisms, risk management, and evolving trends in regulatory requirements.
Course Objectives:
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Understand and Analyze: Equip students with a deep understanding of the laws and regulations governing investment advisors.
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Compliance and Ethics: Understand compliance programs, understand ethical obligations, and identify potential risk factors.
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Critical Thinking: Enhance analytical and critical thinking abilities to interpret and apply complex regulatory frameworks.
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Global Perspective: Offer insights into international regulatory regimes and comparative studies with domestic regulations.