RIACF & LawVisory University

RIACF & LawVisory University

13 episodes

The primary purpose of this series is to educate and empower in-house registered investment adviser legal and compliance professionals and others interested in this area so they can be more confident and able in their roles. This program is designed to help you meet the tremendous, growing responsibilities laid upon your back by the lawmakers and regulators that examine and enforce the countless laws, rules and regulations applicable to registered investment advisers in the United States of America.

Podcasts

Episode 12: Rule 206(4)-7 - Compliance Rule

Published: Nov. 30, 2020, 7:40 p.m.
Duration: 10 minutes 35 seconds

Listed in: Business

Episode 11: Rule 206(4)-6 - Proxy Voting

Published: Nov. 30, 2020, 7:38 p.m.
Duration: 11 minutes 31 seconds

Listed in: Business

Episode 10: Rule 206(4)-5 - Pay to Play Rule

Published: Nov. 30, 2020, 7:36 p.m.
Duration: 9 minutes 26 seconds

Listed in: Business

Episode 09: Rule 206(4)-3 - Solicitation Arrangements

Published: Nov. 30, 2020, 7:33 p.m.
Duration: 7 minutes 55 seconds

Listed in: Business

Episode 08: Rule 206(4)-2 - Custody Rule

Published: Nov. 30, 2020, 7:30 p.m.
Duration: 12 minutes 47 seconds

Listed in: Business

Episode 07: Rule 206(4)-1 - Advertising Rule

Published: Nov. 30, 2020, 7:25 p.m.
Duration: 10 minutes 21 seconds

Listed in: Business

Episode 06: Section 206 of the Advisers Act

Published: Nov. 30, 2020, 7:23 p.m.
Duration: 16 minutes 40 seconds

Listed in: Business

Episode 05: Section 205 of the Advisers Act

Published: Nov. 30, 2020, 5:49 p.m.
Duration: 7 minutes 58 seconds

Listed in: Business

Episode 04: Section 204A of the Advisers Act

Published: Nov. 30, 2020, 5:48 p.m.
Duration: 9 minutes 35 seconds

Listed in: Business

Episode 03: Section 204A of the Advisers Act

Published: Nov. 30, 2020, 5:42 p.m.
Duration: 8 minutes 9 seconds

Listed in: Business

Episode 02: Section 203 of the Advisers Act

Published: Nov. 30, 2020, 5:40 p.m.
Duration: 9 minutes 54 seconds

Listed in: Business

Episode 01: Investment Advisers Act Overview

Published: Nov. 30, 2020, 5:35 p.m.
Duration: 12 minutes 15 seconds

Listed in: Business

Introduction

Published: Nov. 30, 2020, 5:28 p.m.
Duration: 4 minutes 5 seconds

Listed in: Business